John P. Reynolds
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 Patrick Reynolds 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 65, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2015 - October 19, 2016
NUVEEN SECURITIES, LLC
July 29, 2008 - April 9, 2010
TD SECURITIES (USA) LLC
July 2, 2007 - April 25, 2008
BNY MELLON SECURITIES CORPORATION
August 29, 2005 - December 31, 2005
MBSC, LLC
December 6, 2004 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
July 20, 2004 - September 29, 2004
PARETO SECURITIES LP
October 25, 2000 - July 10, 2001
FAM DISTRIBUTORS, INC.
March 19, 1986 - January 16, 1990
SALOMON BROTHERS 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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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