John S. Spiker
Professional summary
John Scott Spiker, who also goes by J Scott Spiker, Scott Spiker, is a registered financial professional currently at FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Scott Spiker's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2007 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109April 15, 2002 - October 17, 2003
STANTON INVESTMENT SERVICES, INC.
March 2, 1998 - August 11, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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