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JL

John Lightner Landes

CRD# 2191735·Registered 1991 - 2014
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Lightner Landes was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1991 - 2014. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

35 years in the financial services industry

Current & Past Employments

MIDLAND SECURITIES, LTD·CRD# 23736
BD
Chapel Hill, NC
January 4, 2013 - December 31, 2014
CAROLINA CAPITAL MARKETS, INC.·CRD# 38156
BD
Chapel Hill, NC
January 4, 2000 - March 4, 2011
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Memphis, TN
October 3, 1994 - January 13, 2000
J. LEE PEELER & COMPANY, INC.·CRD# 2999
BD
Durham, NC
January 26, 1993 - October 3, 1994
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
November 21, 1991 - December 31, 1992

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Current Firm

MS
MIDLAND SECURITIES, LTD

ANDERSON, CHENEVIERE & CO., LTD | WELLER, ANDERSON, CHENEVIERE & CO., LTD. | WELLER, ANDERSON & CO., LTD. | MIDLAND SECURITIES, LTD

CRD#: 23736 / SEC#: 8-40685
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

1605 Lbj Freeway Suite 710, Dallas, TX 75234

Mailing Address

1605 Lbj Freeway Suite 710, Dallas, TX 75234

Phone Number

(469) 522-4309

Established

Texas since 06/11/1985

Firm Type

Partnership

Fiscal Year End

December

Firm Size

Small

FINRA licenses (8 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICAN RESERVE SERVICE CORPORATIONLIMITED PARNER—
ALWORTH, JAMES RICHARDBRANCH MANAGER1629135
ARS WINDCHASE, INC.GENERAL PARTNER—
PHILLIPS, BRADFORD ASHLEYCEO/FINOP/CCO1730426

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2011About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1991About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jan 2011About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 2001About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Nov 2000About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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