John F. Wartman
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 Francis Wartman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 4 firms and has passed the Series 63, Series 65, Series 7, Series 3 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2013 - August 22, 2013
AGECROFT PARTNERS, LLC
September 23, 2002 - February 11, 2005
FAIRFIELD HEATHCLIFF CAPITAL LLC
June 15, 2001 - January 16, 2002
INVESTOR FORCE SECURITIES, INC.
September 24, 1985 - June 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
AGECROFT PARTNERS, LLC
CRD#: 139227 / SEC#: , 8-67198
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEINBRUGGE, DONALD ALLEN | MANAGING MEMBER, CCO | |
| STEINBRUGGE, PIA SEXTEN | PASSIVE MEMBER | |
| RIP, OLGA | FINOP, CFO, PFO, POO | 5440553 |
Red Flags
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