John N. Michie
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 Norwood Michie, who also goes by Jack Michie, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2005 - January 8, 2020
LOCORR DISTRIBUTORS, LLC
September 1, 2004 - May 2, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 12, 2004 - September 1, 2004
BANC ONE SECURITIES CORPORATION
December 17, 2002 - March 30, 2004
TRUIST INVESTMENT SERVICES, INC.
October 24, 1996 - January 16, 2002
SEI INVESTMENTS DISTRIBUTION CO.
September 10, 1993 - September 11, 1996
CRESTAR SECURITIES CORPORATION
October 22, 1992 - September 13, 1993
DETWILER FENTON WEALTH MANAGEMENT INC
February 17, 1984 - October 2, 1992
BRANCH, CABELL & CO., 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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
