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JC

John H. Clough

Some features on this profile are disabled
CRD#: 1812324
JC

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 Hastings Clough was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1988. John had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 5, 2014 - April 12, 2022

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
CHICAGO, IL
Past

September 9, 2005 - March 3, 2014

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

December 13, 2004 - March 10, 2014

FORWARD MANAGEMENT, LLC

RIA
CRD#: 109193
SAN FRANCISCO, CA
Past

July 9, 2003 - September 9, 2005

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

January 14, 2000 - June 12, 2003

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

June 16, 1999 - January 13, 2000

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

June 30, 1997 - June 24, 1999

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

November 1, 1995 - June 30, 1997

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

August 30, 1993 - October 11, 1995

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTLAND, ME
Past

February 18, 1993 - May 14, 1993

FISCO EQUITY, INC.

BD
CRD#: 24067
LINCOLN, RI
Past

May 18, 1992 - February 16, 1993

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

March 16, 1992 - May 5, 1992

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

January 2, 1991 - March 9, 1992

UNITED PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 21632
Past

February 27, 1990 - January 8, 1991

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

May 1, 1989 - March 1, 1990

W.H. NEWBOLD'S SON & CO., INC.

BD
CRD#: 7575
Past

March 23, 1988 - May 1, 1989

HOPPER SOLIDAY & CO., INC.

BD
CRD#: 409

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/24/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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.

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

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