John R. Wilkes
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 Randall Wilkes, who also goes by Randy Wilkes, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1992. John had worked at 5 firms and has passed the Series 65, Series 63, 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
April 12, 2002 - December 31, 2006
VANTAGE CAPITAL MANAGEMENT, LLC
September 1, 1998 - March 3, 1999
W&S BROKERAGE SERVICES, INC.
August 13, 1996 - September 18, 1997
STEPHENS
May 17, 1996 - July 25, 1996
BANK UNITED SECURITIES CORP.
June 8, 1992 - March 12, 1996
NUVEEN SECURITIES, LLC
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
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
