JS
John P. Saxton
INVESCO ADVISERS
Stevenson Ranch, CA
Some features on this profile are disabled
CRD#: 2173911
JS
Professional summary
John Patrick Saxton is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Stevenson Ranch, California and INVESCO DISTRIBUTORS, INC. located in New York, New York.
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 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 6 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.
(1)JOHN SAXTON; NOT INVESTMENT RELATED; 26343 MITCHELL PL, STEVENSON RANCH CA, 91381; RENTAL PROPERTY; OWNER OF THE PROPERTY; START: 09/2011; 02HRS/MO NOT DURING TRADING HOURS; COLLECT RENT. (2) USA HOCKEY; NOT INVESTMENT RELATED; 1775 BOB JOHNSON DR., COLORADO SPRINGS, CO 80906, USA; NON PROFIT ORGANIZATION SUPPORTING AMATEUR HOCKEY IN THE UNITED STATES; HOCKEY REFEREE; START: 11/2022; 15HRS/MO, NOT DURING TRADING HOURS; OFFICIATE HOCKEY GAMES
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick Saxton'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®
NoneExperience
Current
January 1, 2010 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Stevenson Ranch, CA
Current
December 9, 2009 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 225 Liberty St 11th Floor, New York, NY 10281BD
CRD#: 7369
NEW YORK, NY
Past
December 22, 2009 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
RIA
CRD#: 109264
HOUSTON, TX
Past
January 26, 2007 - December 2, 2009
LAZARD ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 129119
SAN FRANCISCO, CA
Past
April 18, 2005 - April 7, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
RIA
CRD#: 7110
COLUMBUS, OH
Past
February 22, 2001 - January 30, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
May 5, 2000 - July 28, 2000
HOAK BREEDLOVE WESNESKI & CO.
BD
CRD#: 23728
DALLAS, TX
Past
September 23, 1996 - December 23, 1999
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
July 17, 1995 - June 26, 1996
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 21, 1993 - March 30, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 20, 1992 - July 16, 1993
ALLIANCE ADVISORY & SECURITIES, INC.
BD
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
August 29, 1991 - February 20, 1992
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)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.RR
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
RR
Alabama(12/9/2009)
RR
Alaska(12/9/2009)
RR
Arizona(12/9/2009)
RR
Arkansas(12/9/2009)
RR
California(12/9/2009)
RR
Colorado(12/9/2009)
RR
Connecticut(12/9/2009)
RR
Delaware(12/9/2009)
RR
District of Columbia(12/9/2009)
RR
Florida(12/9/2009)
RR
Georgia(12/9/2009)
RR
Hawaii(12/9/2009)
RR
Idaho(12/9/2009)
RR
Illinois(12/9/2009)
RR
Indiana(12/9/2009)
RR
Iowa(12/9/2009)
RR
Kansas(12/9/2009)
RR
Kentucky(12/9/2009)
RR
Louisiana(12/9/2009)
RR
Maine(12/9/2009)
RR
Maryland(12/9/2009)
RR
Massachusetts(12/9/2009)
RR
Michigan(12/9/2009)
RR
Minnesota(12/9/2009)
RR
Mississippi(12/9/2009)
RR
Missouri(12/9/2009)
RR
Montana(12/9/2009)
RR
Nebraska(12/9/2009)
RR
Nevada(12/9/2009)
RR
New Hampshire(12/9/2009)
RR
New Jersey(12/9/2009)
RR
New Mexico(12/9/2009)
RR
New York(12/9/2009)
RR
North Carolina(12/9/2009)
RR
North Dakota(12/9/2009)
RR
Ohio(12/9/2009)
RR
Oklahoma(12/9/2009)
RR
Oregon(12/9/2009)
RR
Pennsylvania(12/9/2009)
RR
Puerto Rico(12/9/2009)
RR
Rhode Island(12/9/2009)
RR
South Carolina(12/9/2009)
RR
South Dakota(12/9/2009)
RR
Tennessee(12/9/2009)
RR
Texas(12/9/2009)
IAR
Texas(1/1/2010)
RR
Utah(12/9/2009)
RR
Vermont(12/9/2009)
RR
Virgin Islands(12/9/2009)
RR
Virginia(12/9/2009)
RR
Washington(12/9/2009)
RR
West Virginia(12/9/2009)
RR
Wisconsin(12/9/2009)
RR
Wyoming(12/9/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
