John M. Falkner
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 Michael Falkner, who also goes by John Falkner, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 1996 - September 13, 2019
VOYA FINANCIAL PARTNERS, LLC
October 15, 1993 - March 2, 1994
VOYA FINANCIAL PARTNERS, LLC
October 30, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 20, 1989 - April 12, 1996
AELTUS CAPITAL, INC
March 23, 1989 - March 19, 1990
AETNA FINANCIAL SERVICES, 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
Current Firm
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
