Evon W. Friend
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.
Evon Winton Friend, who also goes by John Winton Friend, John Friend, was a registered financial professional .
Evon is a previously registered financial professional and started their career in finance in 1990. Evon had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 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
August 26, 2016 - June 20, 2019
LINCOLN INVESTMENT
August 19, 2016 - June 20, 2019
LINCOLN INVESTMENT
September 12, 2014 - August 26, 2016
STONEX SECURITIES INC.
January 9, 2013 - September 12, 2014
WRP INVESTMENTS, INC.
January 27, 2011 - December 17, 2012
VALMARK ADVISERS, INC.
October 10, 2008 - December 18, 2012
VALMARK SECURITIES, INC.
December 9, 2004 - December 31, 2006
THE O.N. EQUITY SALES COMPANY
July 17, 2002 - July 30, 2004
THE HUNTINGTON INVESTMENT COMPANY
April 26, 2000 - January 12, 2001
METROPOLITAN LIFE INSURANCE COMPANY
April 26, 2000 - January 12, 2001
MSI FINANCIAL SERVICES, INC.
September 10, 1996 - April 14, 2000
DENMARK INVESTMENT SERVICES, INC.
June 21, 1995 - September 13, 1996
ALLSTATE FINANCIAL SERVICES, LLC
May 27, 1994 - November 1, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
February 16, 1994 - July 14, 1994
NATIONAL CITY INVESTMENTS CORPORATION
January 14, 1991 - November 12, 1992
CUNA BROKERAGE SERVICES, INC.
January 23, 1990 - August 21, 1990
IDS LIFE INSURANCE COMPANY
January 23, 1990 - August 21, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
