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JC

John K. Crean

Some features on this profile are disabled
CRD#: 1222293
JC

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 Kevin Crean was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1991. John had worked at 3 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 6, 1993 - January 22, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

March 31, 1992 - March 24, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

February 4, 1991 - March 31, 1992

NATIONSBANC SECURITIES OF GEORGIA, INC.

BD
CRD#: 315

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/19/1992
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/1991
General Securities Principal Examination

Current Firm

TR
THE ROBINSON-HUMPHREY COMPANY, LLC
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | THE ROBINSON-HUMPHREY COMPANY, LLC | THE ROBINSON-HUMPHREY COMPANY INC. | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY ASSET MANAGEMENT | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | ROBINSON-HUMPHREY/AMERICAN EXPRESS INC. | ROBINSON-HUMPHREY COMPANY, INC. (THE) | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING GROUP | CONSULTING AND EVALUATION SERVICES

CRD#: 723 / SEC#: , 8-27190

BD
Terminated by SEC on 03/19/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/03/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SALOMON SMITH BARNEY INC.OWNER7059
CLEMENTS, GEORGE BUNCHSENIOR VICE PRESIDENT48542
DAY, MICHAEL JOSEPHCHIEF FINANCIAL OFFICER2344142
JANIAK, A.RICHARD RICHARD JRCHIEF EXECUTIVE OFFICER AND DIRECTOR
KUKLENSKI, KIRBY JUDEEXECUTIVE VICE PRESIDENT732315
MORGAN, MICHELLE MARIECROP2413332
SORDIPREITE, VIRGINIA ACHIEF COMPLIANCE OFFICER2007039
STIDHAM, REESE MCGREGOR IIISENIOR VICE PRESIDENT808174
SWIFT, HENRY WOODRUFF JRSENIOR VICE PRESIDENT441328
TRAYNOR, FRANCIS MOFFITT JRSENIOR VICE PRESIDENT449006
ZIMMERMAN, JOHN CONRAD JRSENIOR VICE PRESIDENT476714

Disclosures

Regulatory Event14
Arbitration11

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.

Company Information

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

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