John H. Lauderdale

PALMETTO ADVISORY

COLGATE, WI

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CRD#: 2165547

Professional summary

John Howard Lauderdale is a registered financial advisor currently at PALMETTO ADVISORY located in Colgate, Wisconsin and PALMETTO ADVISORY GROUP, LLC located in Kiawah Island, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view John Howard Lauderdale'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

October 5, 2010 - Present

PALMETTO ADVISORY

RIA

CRD#: 152286

COLGATE, WI

Current

September 2, 2010 - Present

PALMETTO ADVISORY GROUP, LLC

CRD#: 150270

KIAWAH ISLAND, SC

Past

August 14, 2007 - October 19, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MILWAUKEE, WI

Past

August 14, 2007 - October 19, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MILWAUKEE, WI

Past

September 23, 1991 - January 16, 2007

B. C. ZIEGLER AND COMPANY

CRD#: 61

MILWAUKEE, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(10/6/2011)

IAR

California
(5/15/2024)

Wisconsin
(9/15/2010)

IAR

Wisconsin
(10/5/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALMETTO ADVISORY

PALMETTO ADVISORY | PALMETTO ADVISORY LLC | PALMETTO ADVISORY GROUP

CRD#: 152286 / SEC#:

California

Registered Investment Advisory firm - (5/15/2024 Approved)

Connecticut

Registered Investment Advisory firm - (11/9/2021 Approved)

Florida

Registered Investment Advisory firm - (10/28/2010 Approved)

Georgia

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (8/31/2021 Approved)

Minnesota

Registered Investment Advisory firm - (11/8/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (6/30/2010 Approved)

South Carolina

Registered Investment Advisory firm - (3/9/2010 Approved)

Washington

Registered Investment Advisory firm - (12/23/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/5/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Kiawah Island, SC

Mailing Address

Phone number

(404) 402-7016

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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John H. Lauderdale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PALMETTO ADVISORY

PALMETTO ADVISORY GROUP, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

B. C. ZIEGLER AND COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/1997

Series 63

Date: 11/21/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1991

FINRA

Current Firm

PALMETTO ADVISORY

Contact information

Documents

Red Flags

Company Information

PALMETTO ADVISORY

TRUST BUT VERIFY

Contact information

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