John F. Wilson
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 F Wilson, who also goes by John Francis Wilson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - January 19, 2017
SCOTTRADE, INC.
January 2, 2009 - September 16, 2016
CHARLES SCHWAB & CO., INC.
October 14, 2008 - September 16, 2016
CHARLES SCHWAB & CO., INC.
February 14, 2008 - July 2, 2008
VP DISTRIBUTORS LLC
April 17, 2007 - January 16, 2008
TRANSAMERICA CAPITAL, LLC
May 9, 2005 - April 3, 2007
ASHTON STEWART & CO., INC.
March 1, 2005 - March 14, 2005
TD AMERITRADE, INC.
March 1, 2005 - March 14, 2005
TD AMERITRADE, INC.
March 10, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
March 8, 2000 - November 15, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 27, 1998 - October 28, 1998
HAPOALIM SECURITIES USA, INC.
November 2, 1992 - June 16, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 24, 1991 - May 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 24, 1991 - May 10, 1996
SIGNATOR INVESTORS, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
