John D. Rausch
Professional summary
John Deene Rausch was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, John had worked at 7 firms, which includes UVEST FINANCIAL SERVICES GROUP INC., CUNA BROKERAGE SERVICES INC., MARINER FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION, AMERICAN GENERAL EQUITY SERVICES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2001 - April 24, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
January 5, 1996 - May 29, 2001
CUNA BROKERAGE SERVICES, INC.
December 6, 1994 - January 4, 1996
MARINER FINANCIAL SERVICES, INC.
May 13, 1992 - December 5, 1994
INVEST FINANCIAL CORPORATION
March 16, 1992 - May 20, 1992
AMERICAN GENERAL EQUITY SERVICES CORPORATION
September 29, 1989 - March 21, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1987 - October 5, 1989
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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