John Hendrick
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 Hendrick, who also goes by John Paul Hendrick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - March 12, 2021
CREDIT SUISSE SECURITIES (USA) LLC
July 30, 2007 - November 24, 2014
UBS FINANCIAL SERVICES INC.
August 11, 2006 - June 27, 2007
PERSHING LLC
August 29, 1997 - August 8, 2006
CITICORP INVESTMENT SERVICES
June 5, 1997 - September 18, 1997
FLEET ENTERPRISES, INC.
December 10, 1996 - June 10, 1997
NATIONAL CLEARING CORP.
July 30, 1996 - December 24, 1996
CITIGROUP GLOBAL MARKETS INC.
November 2, 1994 - April 22, 1996
CITIGROUP GLOBAL MARKETS INC.
January 27, 1994 - February 17, 1994
SOUTH RICHMOND SECURITIES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
