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JN

John A. Naslund

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 1903094
JN

Professional summary

John Alan Naslund, CFP® is a registered financial advisor currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 6 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 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) - BD

Click below to view John Alan Naslund's CRS (Customer Relationship Summary).
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: 1988

Experience

Current

July 19, 2002 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Past

February 10, 2003 - October 11, 2005

WAVELAND INVESTMENT ADVISORS, LLC

RIA
CRD#: 119505
CARLSBAD, CA
Past

January 20, 1999 - July 2, 2002

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

September 7, 1993 - October 14, 1998

UNITED PACIFIC SECURITIES, INC.

BD
CRD#: 21986
CARLSBAD, CA
Past

July 26, 1989 - September 1, 1993

PROGRAMMED EQUITIES CORPORATION

BD
CRD#: 21778
Past

December 22, 1988 - June 8, 1989

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249

State Registrations and Notice Filings

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

RR
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

RR
California
(7/19/2002)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/2/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WAVELAND CAPITAL PARTNERS LLC
MERCER GLOBAL SECURITIES LLC | WAVELAND SECURITIES LLC | WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054 / SEC#: , 8-48962

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

Main Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Phone number
(949) 706-5000
Established
Delaware since 03/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WAVELAND CAPITAL GROUP LLCOWNER
DOOLEY, ADAM JAMESPRESIDENT2547292
IRVANI, SAMFINOP4298335
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980

Disclosures

Arbitration2

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

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054Irvine, CA 92612

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