John R. Reynoldson
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 Robert Reynoldson, who also goes by Jack Reynoldson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 11 firms and has passed the Series 66, 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
September 19, 2013 - May 19, 2014
OPPENHEIMER & CO. INC.
September 18, 2013 - May 19, 2014
OPPENHEIMER & CO. INC.
June 13, 2012 - November 13, 2012
MSC - BD, LLC
May 13, 2011 - September 13, 2013
NAMCOA
January 11, 2010 - May 7, 2010
MERIDIAN UNITED CAPITAL, LLC
June 18, 2009 - May 19, 2011
NYE WEALTH MANAGEMENT LLC
March 11, 2009 - June 9, 2009
THE PLANNING GROUP
March 10, 2009 - June 9, 2009
MERIDIAN UNITED CAPITAL, LLC
October 1, 2008 - January 29, 2009
J.P. MORGAN SECURITIES LLC
October 1, 2008 - January 29, 2009
J.P. MORGAN SECURITIES LLC
June 30, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 24, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 30, 2008 - June 5, 2008
VAN KAMPEN ADVISORS INC
October 17, 2007 - June 5, 2008
INVESCO CAPITAL MARKETS, INC.
January 12, 1995 - July 13, 2007
INVESCO CAPITAL MARKETS, INC.
March 20, 1990 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
