John P. Brandon

ATLANTES FINANCIAL ADVISORS

FAIRHOPE, AL 36532

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CRD#: 1888508

Professional summary

John Peninger Brandon, CFP®, ChFC®, CLU® is a registered financial advisor currently at ATLANTES FINANCIAL ADVISORS located in Fairhope, Alabama and PURSHE KAPLAN STERLING INVESTMENTS located in Fairhope, Alabama.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) RIA-ATLANTES FINANCIAL ADVISORS CORP. 365 GRAND AVE., SUITE A FAIRHOPE, AL 36532. INVESTMENT RELATED, PRESIDENT AND BRANCH MANAGER. 2)JOHN P. BRANDON, NOT INVESTMENT RELATED, PO BOX 1350 FAIRHOPE, AL 36533, RENTAL REAL ESTATE JOINT OWNER WITH SPOUSE, 4HRS/MO 0 DURING TRADING: MANAGE REAL ESTATE PROPERTY 3) RENTAL PROPERTIES - NOT AFFILIATED WITH ANY INVESTMENT COMPANIES. 4) FIXED INSURANCE BUSINESS. INVESTMENT RELATED.365 GRAND AVENUE SUITE A, FAIRHOPE AL, 36532. FIXED INSURANCE SALES. AGENT. 04/2004. FIXED INSURANCE SALES-LONG TERM CARE, DISABILITY, ANNUITIES AND LIFE INSURANCE. 4) PKS FINANCIAL SERVICES, INVESTMENT RELATED, 80 STATE ST, ALBANY, NY 12207, 3/29/2004-PRESENT, AGENT, FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Peninger Brandon's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1993

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 31, 2024 - Present

ATLANTES FINANCIAL ADVISORS

Office #1: 365 Grand Avenue, Suite "a", Fairhope, AL 36532

RIA

CRD#: 138210

FAIRHOPE, AL

Current

March 29, 2004 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 365 Grand Ave. Suite A, Fairhope, AL 36532

CRD#: 35747

Fairhope, AL

Past

March 31, 2010 - December 31, 2023

ATLANTES FINANCIAL ADVISORS

RIA

CRD#: 138210

FAIRHOPE, AL

Past

March 30, 2004 - April 1, 2006

CLEARPOINT CAPITAL, L.L.C.

RIA

CRD#: 130286

FAIRHOPE, AL

Past

August 4, 2002 - March 30, 2004

EDWARD JONES

RIA

CRD#: 250

FAIRHOPE, AL

Past

October 19, 1988 - March 30, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/29/2003)

IAR

Alabama
(1/31/2024)

Colorado
(4/27/2021)

Florida
(3/29/2004)

Georgia
(1/10/2014)

Kansas
(6/3/2013)

Louisiana
(3/29/2004)

IAR

Louisiana
(1/9/2025)

Minnesota
(11/1/2004)

Mississippi
(3/29/2004)

North Carolina
(2/5/2013)

Texas
(4/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ATLANTES FINANCIAL ADVISORS

ATLANTES FINANCIAL ADVISORS | ATLANTES FINANCIAL ADVISORS CORP

CRD#: 138210 / SEC#: 801-64994

RIA

Registered Investment Advisory firm - (9/25/2012 Terminated)

Alabama

Registered Investment Advisory firm - (1/31/2024 Approved)

Louisiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

365 Grand Avenue, Suite "a", Fairhope, AL 36532

Mailing Address

Po Box 1350, Fairhope, AL 36533-1350

Phone number

(251) 928-1616

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 53,954,012

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.

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John P. Brandon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Peninger Brandon's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ATLANTES FINANCIAL ADVISORS

CLEARPOINT CAPITAL, L.L.C.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1988

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

FINRA

Current Firm

ATLANTES FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ATLANTES FINANCIAL ADVISORS

TRUST BUT VERIFY

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