John R. Livingston
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 Royal Livingston, who also goes by John R Livingston, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - May 28, 2014
RELIANCE WORLDWIDE INVESTMENTS, LLC
February 24, 2012 - May 28, 2014
RWI WEALTH MANAGEMENT, LLC
May 7, 2009 - March 1, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 6, 2009 - March 1, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 22, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
February 9, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RELIANCE WORLDWIDE INVESTMENTS, LLC
CRD#: 143546 / SEC#: , 8-67575
Contact information
Documents
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.
