John M. Behrendt
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 Marshall Behrendt was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 8 firms and has passed the Series 63, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2004 - January 29, 2013
PHILLIPS FINANCIAL
May 25, 2004 - September 30, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 25, 2004 - May 16, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 7, 1998 - May 26, 2004
OSAIC FA, INC.
February 12, 1998 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 25, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 25, 1984 - May 26, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 25, 1984 - May 26, 2004
OSAIC FA, INC.
July 9, 1981 - February 9, 1984
THOMSON MCKINNON SECURITIES INC.
January 19, 1981 - July 18, 1981
TRAUB AND COMPANY, INC.
July 5, 1973 - February 16, 1981
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 5, 1973 - February 16, 1981
OSAIC FA, INC.
Primary Firm SEC Registration
PHILLIPS FINANCIAL
CRD#: 131344 / SEC#: 801-63343
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 00
Date: 7/3/1973
General Securities Principal ExaminationCurrent Firm
PHILLIPS FINANCIAL
CRD#: 131344 / SEC#: 801-63343
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,084 |
| AUM (Assets Under Management) | $ 2,214,893,239 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 11/27/2024 | ||
| 10/30/2023 | ||
| 01/03/2023 |
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.
