John J. Harrell
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 Joseph Harrell, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2018 - August 31, 2018
GLOBALINK SECURITIES, INC.
March 4, 2011 - February 26, 2016
RUSSELL INVESTMENTS
August 13, 2010 - February 26, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 24, 2007 - August 13, 2010
SIGNATOR FINANCIAL SERVICES, INC.
February 23, 2006 - May 3, 2007
IFMG SECURITIES, INC.
August 13, 2004 - November 22, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 31, 2002 - August 31, 2004
IFMG SECURITIES, INC.
July 15, 1999 - May 13, 2002
BOFA DISTRIBUTORS, INC.
October 8, 1997 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
January 6, 1997 - July 15, 1997
IFMG SECURITIES, INC.
April 3, 1992 - December 31, 1996
ESSEX NATIONAL SECURITIES, LLC
October 19, 1990 - December 31, 1991
MONY SECURITIES CORPORATION
January 26, 1989 - July 9, 1990
INVEST FINANCIAL CORPORATION
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
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
