John T. Browning

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT

Lisle, IL 60532

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CRD#: 2175608

Professional summary

John Thomas Browning, who also goes by John T Browning, John Thomas Browning, is a registered financial advisor currently at GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC. located in Lisle, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John T Browning | John Thomas Browning

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.

INCLUSIVE ASSISTANCE CORP. - OWNER, NON-INVESTMENT RELATED, BARRINGTON, IL, 1-8 HOURS PER MONTH; HOME AND NURSING CARE, NO HOURS DURING SECURITIES TRADING HOURS INCLUSIVE ASSISTANCE SERVICES - OWNER, NON-INVESTMENT RELATED, WHEATON, IL, ; 15-20 HOURS PER MONTH; HOME AND NURSING CARE, NO HOURS DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Browning'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

May 10, 2019 - Present

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

Office #1: 3333 Warrenville Road Suite 200, Lisle, IL 60532

RIA

CRD#: 120529

Lisle, IL

Past

August 1, 2019 - April 21, 2020

MARC J. LANE & COMPANY

CRD#: 16188

CHICAGO, IL

Past

November 30, 2018 - May 9, 2019

MARC J. LANE & COMPANY

CRD#: 16188

CHICAGO, IL

Past

August 22, 2017 - December 11, 2018

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Past

May 12, 2016 - July 14, 2017

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

October 19, 2011 - May 4, 2016

INCAPITAL DISTRIBUTORS LLC

CRD#: 156622

CHICAGO, IL

Past

June 9, 2011 - May 4, 2016

INSPEREX LLC

CRD#: 101420

CHICAGO, IL

Past

May 5, 2010 - May 13, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

January 1, 2010 - April 26, 2010

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

May 18, 2009 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

May 13, 2009 - April 26, 2010

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

WHEATON, IL

Past

June 9, 2005 - February 11, 2009

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

July 22, 1992 - February 11, 2009

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/22/2022)

IAR

Illinois
(5/10/2019)

IAR

North Carolina
(3/25/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1993

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: 3/29/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/30/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/8/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/19/2000

General Securities Principal Examination

Current Firm

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC. | N/A | MARC J. LANE INVESTMENT MANAGEMENT,INC.

CRD#: 120529 / SEC#: 801-63107

RIA

Registered Investment Advisory firm - (8/24/2012 Terminated)

Colorado

Registered Investment Advisory firm - (2/27/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2022 Approved)

Illinois

Registered Investment Advisory firm - (4/27/2012 Approved)

North Carolina

Registered Investment Advisory firm - (3/25/2021 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

3333 Warrenville Road Suite 200, Lisle, IL 60532

Mailing Address

Phone number

(312) 372-5000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 38,010,820

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.

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Advisor Monitoring

Firm Stability Insights

John T. Browning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Browning's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARC J. LANE & COMPANY

MARC J. LANE & COMPANY

HENNION & WALSH, INC.

NUVEEN SECURITIES, LLC

INCAPITAL DISTRIBUTORS LLC

INSPEREX LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2019

Series 63

Date: 4/27/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/29/1993

Series 6

Date: 10/30/1991

Series 53

Date: 12/8/2000

Series 24

Date: 10/19/2000

Current Firm

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GUARDIAN ROCK WEALTH INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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