John E. Conlin
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 Edward Conlin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, SIE, Series 16, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2006 - March 26, 2018
NUVEEN SECURITIES, LLC
September 27, 2004 - August 10, 2006
MONTGOMERY & CO., LLC
May 20, 1999 - August 19, 2002
ROBERTSON STEPHENS, INC.
December 21, 1983 - June 18, 1999
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 5
Date: 5/4/1984
Interest Rate Options ExaminationSeries 8
Date: 9/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
