John J. Chandler
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 James Chandler was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 8 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2013 - August 20, 2013
INVEST FINANCIAL CORPORATION
August 17, 2006 - December 10, 2010
EVOLVE SECURITIES, INC.
November 18, 2004 - November 17, 2005
EVOLVE SECURITIES, INC.
February 14, 2000 - May 30, 2003
AMSOUTH INVESTMENT SERVICES, INC.
June 24, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
March 7, 1996 - June 20, 1997
DELTA LIFE SECURITIES, INC.
January 5, 1994 - December 13, 1995
ICBA FINANCIAL SERVICES CORPORATION
August 23, 1993 - September 22, 1993
ICBA SECURITIES
December 21, 1992 - May 25, 1993
VINING-SPARKS IBG, LLC
January 1, 1991 - January 1, 1991
VINING-SPARKS IBG, LLC
March 3, 1986 - February 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
