John H. Pierucki
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 Howard Pierucki, who also goes by John Pierucki, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2012 - January 10, 2020
CONFLUENCE INVESTMENT MANAGEMENT LLC
November 10, 2010 - August 22, 2011
MEADOWBROOK SECURITIES LLC
October 21, 2009 - June 30, 2010
IPI WEALTH MANAGEMENT, INC.
October 19, 2009 - June 30, 2010
INVESTMENT PLANNERS, INC.
July 8, 2009 - September 22, 2009
MML INVESTORS SERVICES, LLC
June 4, 2009 - September 22, 2009
MML INVESTORS SERVICES, LLC
June 3, 2008 - September 19, 2008
OLD MUTUAL CAPITAL
January 9, 2008 - September 19, 2008
OLD MUTUAL INVESTMENT PARTNERS
January 31, 2003 - January 3, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 30, 1994 - January 27, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
February 5, 1991 - September 28, 1994
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
CONFLUENCE INVESTMENT MANAGEMENT LLC
CRD#: 146019 / SEC#: 801-68723
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 8
Date: 4/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONFLUENCE INVESTMENT MANAGEMENT LLC
CRD#: 146019 / SEC#: 801-68723
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,134 |
| AUM (Assets Under Management) | $ 7,251,904,123 |
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.
