John D. Houck

PROMONTORY FINANCIAL PLANNING

Spanish Fork, UT 84660

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CRD#: 250809

Professional summary

John Dudley Houck is a registered financial advisor currently at PROMONTORY FINANCIAL PLANNING, LLC located in Spanish Fork, Utah.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. John has worked at 14 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT INSURANCE AGENT,YES,136 WEST COVE DRIVE, ELK RIDGE, UT 84651,FIXED INSURANCE SALES,INDEPENDENT INSURANCE AGENT,09/25/2006,160,160,SALES AND SERVICE OF FIXED INSURANCE PRODUCTS 2)TOWN SQUARE APARTMENTS,NO,1070 S. OREM BLVD #82 OREM, UT 84050,RESIDENTIAL REAL ESTATE,OWNER,01/01/2006,10,10,OWNER OF PROPERTY. 3)KELLEY SERVICES,NO,154 WEST 1230 NORTH PROVO, UT 84604,SUBSTITUTE TEACHING,TEACHER,01/07/2013,15,15,TEACHING MATH, ENGLISH, HISTORY, SCIENCE CLASSES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dudley Houck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 16, 2017 - Present

PROMONTORY FINANCIAL PLANNING, LLC

Office #1: 499 Spanish Fields Drive, Spanish Fork, UT 84660

RIA

CRD#: 153666

Spanish Fork, UT

Past

May 2, 2012 - October 12, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ELK RIDGE, UT

Past

April 26, 2012 - October 12, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ELK RIDGE, UT

Past

December 11, 2006 - April 17, 2012

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ELKRIDGE, UT

Past

October 12, 2006 - April 17, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ELKRIDGE, UT

Past

December 19, 2003 - October 13, 2006

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

OREM, UT

Past

December 19, 2003 - October 13, 2006

PARTNERVEST SECURITIES, INC.

CRD#: 104134

ALPINE, CO

Past

February 25, 2003 - December 19, 2003

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

LANCASTER, CA

Past

March 19, 1999 - December 19, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

November 16, 1998 - March 10, 1999

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

December 17, 1992 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

November 27, 1989 - January 1, 1993

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 19, 1988 - November 30, 1989

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

September 15, 1983 - August 30, 1988

BOARDWALK CAPITAL CORPORATION

CRD#: 10279

Past

April 17, 1978 - November 28, 1983

LPL FINANCIAL LLC

CRD#: 6413

Past

March 15, 1974 - May 19, 1978

USLIFE EQUITY SALES CORP

CRD#: 6815

Past

June 27, 1972 - April 2, 1974

CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY

CRD#: 132

Past

June 27, 1972 - April 2, 1974

CAL-WESTERN SECURITIES CO.

CRD#: 130

Past

April 4, 1972 - July 21, 1972

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROMONTORY FINANCIAL PLANNING, LLC

GOAR FINANCIAL SERVICES | PROMONTORY FINANCIAL PLANNING, LLC | PROMONTORY FINANCIAL PLANNIG, LLC | PREMIER FINANCIAL PLANNING

CRD#: 153666 / SEC#: 801-114494

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/1/2019 Terminated)

California

Registered Investment Advisory firm - (4/10/2019 Terminated)

Colorado

Registered Investment Advisory firm - (2/12/2019 Terminated)

Idaho

Registered Investment Advisory firm - (2/1/2019 Terminated)

Utah

Registered Investment Advisory firm - (2/4/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/4/2018)

IAR

Utah
(10/16/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/27/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 6/26/1978

Registered Principal Examination

Current Firm

PROMONTORY FINANCIAL PLANNING, LLC

GOAR FINANCIAL SERVICES | PROMONTORY FINANCIAL PLANNING, LLC | PROMONTORY FINANCIAL PLANNIG, LLC | PREMIER FINANCIAL PLANNING

CRD#: 153666 / SEC#: 801-114494

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (2/1/2019 Terminated)

California

Registered Investment Advisory firm - (4/10/2019 Terminated)

Colorado

Registered Investment Advisory firm - (2/12/2019 Terminated)

Idaho

Registered Investment Advisory firm - (2/1/2019 Terminated)

Utah

Registered Investment Advisory firm - (2/4/2019 Terminated)

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Contact information

Main Address

Farmington, UT

Mailing Address

Phone number

(801) 513-2545

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROMONTORY FINANCIAL PLANNING (2/11/2025)

Regulatory assets under management

Total Number of Accounts	570
AUM (Assets Under Management)	$ 280,000,000

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.

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Firm Stability Insights

John D. Houck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Dudley Houck's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BOARDWALK CAPITAL CORPORATION

LPL FINANCIAL LLC

USLIFE EQUITY SALES CORP

CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY

CAL-WESTERN SECURITIES CO.

SUNSET FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROMONTORY FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1987

SIE

Date: 10/12/2017

Series 1

Date: 3/27/1972

Series 40

Date: 6/26/1978

Current Firm

PROMONTORY FINANCIAL PLANNING, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROMONTORY FINANCIAL PLANNING, LLC

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