John E. Hommel
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 Edward Hommel was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 14 firms and has passed the Series 66, Series 63, Series 3 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 17, 2011 - August 23, 2012
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
April 16, 2010 - February 7, 2011
PURSHE KAPLAN STERLING INVESTMENTS
May 4, 2009 - March 25, 2010
CHASE INVESTMENT SERVICES CORP.
May 4, 2009 - March 25, 2010
CHASE INVESTMENT SERVICES CORP.
August 16, 2006 - April 29, 2009
FIDELITY BROKERAGE SERVICES LLC
May 30, 2006 - November 8, 2006
STERNE, AGEE & LEACH, INC.
August 9, 2005 - April 18, 2006
DAIWA CAPITAL MARKETS AMERICA INC.
April 12, 2005 - August 4, 2005
GH TRADERS LLC
January 7, 2005 - April 7, 2005
FHN FINANCIAL SECURITIES CORP.
July 19, 2000 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 28, 2000 - August 7, 2000
QUICK & REILLY, INC.
February 17, 1999 - December 2, 1999
TERRA NOVA FINANCIAL, LLC
July 1, 1998 - February 11, 1999
IDS LIFE INSURANCE COMPANY
July 1, 1998 - February 11, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 1987 - September 3, 1997
CANTOR FITZGERALD SECURITIES
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
