John W. Bagwell
Professional summary
John Wellington Bagwell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, John had worked at 6 firms, which includes POLARIS FINANCIAL SERVICES INC., MARINER FINANCIAL SERVICES INC., MONEY CONCEPTS CAPITAL CORP, MML INVESTORS SERVICES LLC, THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK, MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1993 - October 20, 1995
POLARIS FINANCIAL SERVICES, INC.
August 8, 1991 - June 22, 1993
MARINER FINANCIAL SERVICES, INC.
August 23, 1990 - August 20, 1991
MONEY CONCEPTS CAPITAL CORP
September 29, 1989 - July 31, 1990
MML INVESTORS SERVICES, LLC
September 7, 1989 - October 10, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 7, 1989 - October 10, 1989
MONY SECURITIES 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
POLARIS FINANCIAL SERVICES, INC.
CRD#: 14521 / SEC#: , 8-29480
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE POLARIS GROUP, INC. | PARENT | |
| JEFFERSON PILOT SECURITIES CORPORATION | STOCKHOLDER | 3870 |
| ANGARELLA, RONALD RICHARD | CHAIRMAN, PRESIDENT | 1785580 |
| ARMSTRONG, DAVID EDWARD | ASSISTANT VICE PRESIDENT, MARKETING | 2465424 |
| BOOTH, DAVID KENNETH | VICE PRESIDENT, MARKETING | 2030529 |
| BOULTER, WARREN THOMAS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 26914 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT, COMPLIANCE | 1745774 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT, ADMINISTRATION | 831061 |
| LEASE, SHARI JANE | SECRETARY | 2631744 |
| MURRAY, MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS | 2074275 |
| WALCZAK, ROBERT JOSEPH | OFFICER FOR INSURANCE PURPOSES | 456804 |
| WESTON, JOHN ARTHUR | TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
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