John D. Whitfield
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John David Whitfield, who also goes by John Whitfield, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 26, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 1999 - December 17, 2014
TOUCHSTONE SECURITIES, INC.
September 18, 1995 - September 24, 1998
R. H. YORK & COMPANY, INC.
February 17, 1994 - September 18, 1995
MOMENTUM INDEPENDENT NETWORK INC.
May 10, 1993 - August 26, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
March 23, 1992 - December 23, 1993
VOYA FINANCIAL ADVISORS, INC.
May 29, 1990 - November 6, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 29, 1990 - November 6, 1991
PRUCO SECURITIES, LLC.
October 17, 1988 - January 19, 1990
AMERIPRISE ADVISOR SERVICES, INC.
March 8, 1988 - October 4, 1988
THOMSON MCKINNON SECURITIES INC.
February 15, 1988 - April 27, 1988
LEHMAN BROTHERS INC.
April 18, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 22, 1984 - April 22, 1985
FIRST JERSEY SECURITIES, INC.
October 3, 1983 - February 22, 1984
TOWER INVESTMENT MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
