John S. Englin
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 Scott Englin, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 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
Start date: 2001
Experience
November 9, 2011 - May 6, 2022
CUNA BROKERAGE SERVICES, INC.
November 9, 2011 - May 6, 2022
CUNA BROKERAGE SERVICES, INC.
December 18, 2009 - September 2, 2011
LPL FINANCIAL LLC
December 18, 2009 - September 2, 2011
LPL FINANCIAL LLC
March 21, 2006 - December 18, 2009
CETERA WEALTH SERVICES, LLC
April 29, 2003 - December 18, 2009
CETERA WEALTH SERVICES, LLC
July 1, 2002 - March 12, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
August 15, 1995 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
May 3, 1985 - July 30, 1986
CENTURY INVESTORS OF AMERICA, 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
Series 7TO
Date: 1/17/2025
General Securities Representative ExaminationCurrent 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.
