John F. Davis
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 Frederick Davis SR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 7 firms and has passed the Series 63, SIE 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
June 28, 2012 - December 9, 2016
ABACUS INVESTMENTS, INC.
April 2, 2007 - December 31, 2011
PACKERLAND BROKERAGE SERVICES, INC.
September 30, 2002 - March 30, 2007
OSAIC FS, INC.
November 3, 1999 - September 9, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 26, 1998 - October 12, 1999
MUTUAL SERVICE CORPORATION
March 28, 1995 - May 21, 1996
HARBOUR INVESTMENTS, INC.
June 29, 1994 - April 11, 1995
WELLINGTON INVESTMENT SERVICES CORP.
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
ABACUS INVESTMENTS, INC.
CRD#: 35127 / SEC#: , 8-46571
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC. | OWNER | |
| HOHENSEE, FREDERICK EARL | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1431948 |
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.
