John F. Wendel
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 Wendel was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - April 1, 2022
EQUITABLE DISTRIBUTORS, LLC
June 27, 2013 - January 6, 2014
EQUITABLE ADVISORS, LLC
January 22, 2007 - July 10, 2013
EQUITABLE DISTRIBUTORS, LLC
March 23, 2004 - April 13, 2006
PARK AVENUE SECURITIES LLC
January 1, 2002 - March 2, 2004
SIGNATOR INVESTORS, INC.
June 13, 2000 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
July 10, 1996 - April 18, 2000
JOHN HANCOCK DISTRIBUTORS LLC
February 1, 1995 - June 25, 1996
WALNUT STREET SECURITIES, INC.
August 3, 1993 - December 31, 1994
CITISTREET EQUITIES LLC
September 4, 1990 - June 18, 1993
FSC SECURITIES CORPORATION
May 13, 1985 - September 12, 1990
LINCOLN FINANCIAL DISTRIBUTORS, 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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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