John N. Terzis
Professional summary
John Nicholas Terzis 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 1988. Prior to being barred, John had worked at 10 firms, which includes LPL FINANCIAL LLC, IFMG SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., VISION ASSET MANAGEMENT INC, VISION INVESTMENT SERVICES INC., MARKETING ONE SECURITIES INC., FIRST COLONIAL INVESTMENT SERVICES INC., CITISTREET EQUITIES LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2008 - March 11, 2022
LPL FINANCIAL LLC
March 4, 2008 - March 11, 2022
LPL FINANCIAL LLC
January 30, 2007 - March 4, 2008
IFMG SECURITIES, INC.
December 18, 2006 - March 4, 2008
IFMG SECURITIES, INC.
March 2, 2005 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 22, 2005 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 21, 2003 - February 8, 2005
VISION ASSET MANAGEMENT INC
April 21, 2003 - February 8, 2005
VISION INVESTMENT SERVICES, INC.
March 6, 2000 - April 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 1, 1999 - April 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 13, 1995 - August 31, 1999
MARKETING ONE SECURITIES, INC.
September 27, 1993 - October 9, 1995
IFMG SECURITIES, INC.
September 3, 1992 - September 28, 1993
FIRST COLONIAL INVESTMENT SERVICES, INC.
October 17, 1990 - July 23, 1992
CITISTREET EQUITIES LLC
May 25, 1988 - May 3, 1989
IDS LIFE INSURANCE COMPANY
May 25, 1988 - May 3, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
