John V. Feneck
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 Van Feneck, who also goes by John V Feneck, John Feneck, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1993. John had worked at 15 firms and has passed the Series 63, Series 66, SIE 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
November 5, 2018 - October 1, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 31, 2016 - July 21, 2017
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
January 2, 2015 - August 17, 2016
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
March 3, 2014 - December 31, 2014
ALPS DISTRIBUTORS, INC.
February 22, 2013 - January 31, 2014
SALIENT CAPITAL L.P.
October 6, 2008 - March 23, 2009
MANULIFE INVESTMENT MANAGEMENT (US) LLC
October 6, 2008 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 6, 2008 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 31, 2008 - October 24, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 24, 2007 - January 14, 2008
DIRECTED SERVICES LLC
February 7, 2003 - June 9, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
October 9, 2000 - June 9, 2006
FAM DISTRIBUTORS, INC.
May 2, 1996 - July 17, 2000
BISYS SHELF B/D (1), INC.
May 9, 1994 - January 19, 1995
CADARET, GRANT & CO., INC.
December 18, 1993 - April 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
