John M. Depenbrock
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 Mackay Depenbrock was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - April 6, 2017
KESTRA ADVISORY SERVICES, LLC
May 9, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 30, 2010 - April 6, 2017
KESTRA INVESTMENT SERVICES, LLC
December 16, 2008 - August 31, 2010
MML INVESTORS SERVICES, LLC
December 6, 2004 - April 25, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 12, 2001 - December 3, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
July 29, 1999 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 11, 1998 - December 3, 1998
LAZARD FRERES & CO. LLC
February 7, 1992 - February 28, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 25, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
December 12, 1983 - July 25, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
