John E. Petty
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 Edward Petty, CFP®, who also goes by Jed Petty, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 3 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
Start date: 2001
Experience
November 30, 2012 - March 9, 2022
WELLINGTON FUNDS DISTRIBUTORS INC.
May 9, 1996 - May 18, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
January 25, 1991 - April 24, 1996
DEAM INVESTOR SERVICES, INC.
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
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768 / SEC#: , 8-68476
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
Red Flags
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