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JC

John Joseph Curran Jr

CRD# 1406427·Registered 1985 - 2016
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Joseph Curran JR was a registered financial advisor. John was a previously registered financial advisor and started their career in finance 1985 - 2016. John had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

FINANCIAL AMERICA SECURITIES, INC.·CRD# 5100
BD
Cleveland, OH
August 4, 2014 - March 21, 2016
WELLS FARGO SECURITIES, LLC·CRD# 126292
BD
Westlake, OH
October 1, 2010 - June 5, 2012
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Westlake, OH
January 1, 2008 - October 7, 2010
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Westlake, OH
January 1, 2008 - October 7, 2010
A. G. EDWARDS & SONS, INC.·CRD# 4
RIA
Westlake, OH
August 29, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
Westlake, OH
June 24, 2005 - January 3, 2008
KEYBANC CAPITAL MARKETS INC.·CRD# 566
BD
Cleveland, OH
June 13, 2005 - July 6, 2005
KEYBANC CAPITAL MARKETS INC.·CRD# 566
RIA
Cleveland, OH
July 11, 2000 - June 2, 2005
KEYBANC CAPITAL MARKETS INC.·CRD# 566
BD
Cleveland, OH
October 22, 1985 - June 2, 2005

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Current Firm

FA
FINANCIAL AMERICA SECURITIES, INC.

FINANCIAL AMERICA SECURITIES, INC. | FINANCIAL AMERICA SECURITIES,INC.

CRD#: 5100 / SEC#: 8-15719
BD
Terminated by SEC on 11/14/2017

Contact Information

Established

Ohio since 03/04/1970

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
RUKENBROD, JOHN DAVIDPRESIDENT /CHIEF OPERATIONS OFFICER4505254
CONWAY, ROBERT GRAHAMCHIEF COMPLIANCE OFFICER864388
GWYNNE LOUISE RUKENBRODSTOCKHOLDER—

Disclosures

Regulatory Event

14

Civil Event

1

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1992About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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