John M. Hestrom
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 Martin Hestrom was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, 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
November 13, 2001 - December 16, 2015
CUNA BROKERAGE SERVICES, INC.
August 6, 2001 - December 16, 2015
CUNA BROKERAGE SERVICES, INC.
October 14, 1994 - May 24, 2001
CETERA INVESTMENT SERVICES LLC
March 27, 1992 - October 17, 1994
AMERIPRISE ADVISOR SERVICES, INC.
June 11, 1991 - March 18, 1992
G. R. PHELPS & CO., INC.
January 2, 1991 - May 16, 1991
CUNA BROKERAGE SERVICES, INC.
May 11, 1989 - December 31, 1990
CENTURY INVESTORS OF AMERICA, INC.
March 17, 1989 - April 7, 1989
DERAND/PENNINGTON/BASS, INC.
March 26, 1987 - March 17, 1989
PENNINGTON/BASS EQUITIES, INC.
July 23, 1984 - December 22, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 23, 1984 - December 24, 1986
AMERIPRISE FINANCIAL SERVICES, 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 8
Date: 8/9/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
