John Ettere
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 Ettere was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 5 firms and has passed the Series 63 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
April 26, 2005 - November 5, 2008
THE WINDMILL GROUP, INC.
August 8, 2001 - October 24, 2002
WOODSTOCK FINANCIAL GROUP, INC.
May 21, 1998 - August 8, 2001
EMERSON BENNETT & ASSOCIATES
February 10, 1998 - February 25, 1998
FAIRCHILD FINANCIAL GROUP, INC.
October 2, 1995 - December 23, 1997
MONROE PARKER 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
Current Firm
THE WINDMILL GROUP, INC.
CRD#: 8384 / SEC#: 801-120154, 8-25280
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 32,101,709 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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