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JM

John Marshall

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 2029200
JM

Professional summary

John Marshall, who also goes by John P Marshall, John Peter Marshall, is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John P Marshall | John Peter Marshall

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Marshall's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 27, 2020 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

September 16, 2014 - January 15, 2020

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

December 5, 2013 - September 22, 2014

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

November 27, 2012 - December 13, 2013

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 18, 2012 - June 28, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

March 23, 2009 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

September 1, 1999 - March 20, 2009

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(1/27/2020)
RR
South Carolina
(1/27/2020)
RR
Virginia
(12/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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.

Company Information

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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