John F. List
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 Frederick List was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2016 - December 31, 2018
OT: OPTIMIZED TRANSITIONS, INDEPENDENT INVESTMENT COUNSEL, LLC
April 1, 2004 - August 26, 2004
FIFTH THIRD SECURITIES, INC.
March 27, 1999 - April 10, 2000
FIFTH THIRD SECURITIES, INC.
July 6, 1994 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
September 12, 1989 - March 17, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 12, 1989 - March 17, 1994
EQUITABLE ADVISORS, LLC
November 12, 1985 - December 5, 1988
PRUCO SECURITIES, LLC.
July 26, 1985 - October 24, 1985
MONARCH SECURITIES, INC.
January 1, 1985 - August 19, 1985
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OT: OPTIMIZED TRANSITIONS, INDEPENDENT INVESTMENT COUNSEL, LLC
CRD#: 171645 / SEC#:
Contact information
Red Flags
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