John David Diederich
Professional Summary
John David Diederich, who also goes by John D Diederich, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1989 - 2016. John had worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John D Diederich
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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.
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Years of Experience
37 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
QUEST DISTRIBUTORS, INC. | ROYCE FUND SERVICES, LLC | ROYCE FUND SERVICES, INC. | QUEST SECURITIES,INC.
Contact Information
Main Address
One Madison Avenue 17th Floor, New York, NY 10010Mailing Address
One Madison Avenue 17th Floor, New York, NY 10010Phone Number
(212) 508-4500Established
Delaware since 02/24/2017Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | — |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1989About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 1989About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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