John K. Linch
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 K Linch, who also goes by John Kenneth Linch, John Kenneth Edward Meyer Linch, John Linch, John Kenneth Edward Myers Linch, John Kenneth Myers, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10 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
February 12, 2019 - March 12, 2026
FIDELITY BROKERAGE SERVICES LLC
January 22, 2019 - March 12, 2026
NATIONAL FINANCIAL SERVICES LLC
September 5, 2017 - August 23, 2018
UBS FINANCIAL SERVICES INC.
August 21, 2017 - August 23, 2018
UBS FINANCIAL SERVICES INC.
November 25, 2013 - August 7, 2017
FIDELITY BROKERAGE SERVICES LLC
June 1, 2009 - February 9, 2012
MORGAN STANLEY
June 1, 2009 - February 9, 2012
MORGAN STANLEY
March 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 25, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 1, 1997 - February 14, 2000
DB ALEX. BROWN LLC
February 3, 1993 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 10, 1992 - December 17, 1992
CETERA WEALTH SERVICES, LLC
December 6, 1989 - November 24, 1990
THE SEIDLER COMPANIES INCORPORATED
July 12, 1988 - October 11, 1988
LEHMAN BROTHERS INC.
January 23, 1985 - August 10, 1988
J.P. MORGAN SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
