John F. Kavalec
Professional summary
John Francis Kavalec was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, John had worked at 5 firms, which includes SII INVESTMENTS INC., OSAIC FS INC., WELLS FARGO CLEARING SERVICES LLC, PRESCOTT BALL & TURBEN INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1997 - October 4, 2005
SII INVESTMENTS, INC.
August 5, 1993 - January 13, 1997
OSAIC FS, INC.
September 4, 1990 - September 24, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 29, 1987 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
October 24, 1984 - September 12, 1986
FORESTERS FINANCIAL SERVICES, 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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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