John J. Fenwick
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 Joseph Fenwick, who also goes by Jay Fenwick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 000, Series 1, Series 8, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2005 - January 31, 2012
FFEC WEALTH PARTNERS LLC
October 24, 2003 - January 31, 2012
FFEC WEALTH PARTNERS LLC
July 1, 2003 - October 30, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1995 - October 31, 2000
UBS FINANCIAL SERVICES INC.
April 29, 1986 - March 2, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1983 - May 5, 1986
E. F. HUTTON & COMPANY INC
September 26, 1980 - March 15, 1983
LEHMAN BROTHERS INC.
August 24, 1976 - August 31, 1980
ELKINS & CO.
December 18, 1974 - September 3, 1976
CITIGROUP GLOBAL MARKETS INC.
July 16, 1973 - January 5, 1976
YARNELL & BIDDLE & CO
October 29, 1971 - May 30, 1973
WEIS SECURITIES, INC.
September 22, 1969 - June 14, 1973
BROOKDALE SECURITIES CORP
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
Series 15
Date: 11/29/1989
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/25/1977
AMEX Put and Call ExamSeries 000
Date: 12/16/1968
General Securities Principal ExaminationSeries 1
Date: 12/9/1968
Registered Representative ExaminationSeries 8
Date: 6/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 11/22/1976
NYSE Branch Manager ExaminationSeries 40
Date: 9/13/1976
Registered Principal ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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