John A. Kauffman
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 Albert Kauffman, who also goes by John Albert Kauffman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - September 25, 2013
TRUIST INVESTMENT SERVICES, INC.
July 3, 2012 - September 25, 2013
TRUIST INVESTMENT SERVICES, INC.
June 14, 2012 - July 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2012 - July 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 7, 2006 - September 15, 2011
FIFTH THIRD SECURITIES, INC.
July 27, 2006 - September 15, 2011
FIFTH THIRD SECURITIES, INC.
November 3, 2004 - June 30, 2006
AMSOUTH INVESTMENT SERVICES, INC.
August 24, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
February 12, 2004 - September 28, 2004
VALIC FINANCIAL ADVISORS, INC.
May 22, 2002 - June 14, 2002
ALLIED BEACON PARTNERS, INC.
April 2, 1997 - June 26, 2001
CITISTREET EQUITIES LLC
May 17, 1995 - October 16, 1995
CAPITAL BROKERAGE CORPORATION
December 10, 1993 - July 25, 1994
A. G. EDWARDS & SONS, INC.
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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
