John W. Aitken
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 Wallace Aitken was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1964. John had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 8 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
November 16, 2009 - August 6, 2014
BARRETT & COMPANY
April 3, 2000 - November 17, 2009
DOMINARI SECURITIES LLC
May 9, 1995 - April 3, 2000
JANNEY MONTGOMERY SCOTT LLC
April 3, 1990 - May 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1985 - April 23, 1990
LEHMAN BROTHERS INC.
March 8, 1982 - May 17, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
October 19, 1979 - April 16, 1982
MORGAN STANLEY DW INC.
September 19, 1973 - October 14, 1979
TUCKER ANTHONY INCORPORATED
April 8, 1964 - September 29, 1973
HOPPIN, WATSON, INC.
Primary Firm SEC Registration
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
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
PC
Date: 8/29/1977
AMEX Put and Call ExamSeries 8
Date: 7/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 1/7/1972
Registered Principal ExaminationCurrent Firm
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAVILLE, WILSON GORDON II | PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER, & CHIEF FINANCIAL OFFICER | 1406756 |
Regulatory assets under management
| Total Number of Accounts | 1,040 |
| AUM (Assets Under Management) | $ 453,480,963 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
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.
