John D. Brothers
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 David Brothers, who also goes by John Brothers, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 3 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2000 - December 11, 2000
MAYFLOWER CAPITAL, L.L.C.
November 29, 1996 - September 29, 1998
MAYFLOWER CAPITAL, L.L.C.
April 6, 1993 - September 1, 1994
THE INVESTMENT CENTER, INC.
March 21, 1989 - March 1, 1993
F.N. WOLF & CO., INC.
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 28
Date: 6/7/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MAYFLOWER CAPITAL, L.L.C.
CRD#: 40000 / SEC#: , 8-49093
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ETTEN, STANLEY HOWLAND | PRESIDENT | |
| PACE, DIANE WELLS | TREASURER | 1270213 |
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.
