John Karnish
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 Karnish, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1960. John had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 1998 - April 9, 2012
MUTUAL SECURITIES, INC.
November 29, 1990 - March 24, 1998
FIRST ASSOCIATED SECURITIES GROUP, INC.
September 7, 1989 - November 23, 1990
VANGUARD CAPITAL
June 26, 1989 - September 12, 1989
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 3, 1989 - September 19, 1989
MUTUAL SECURITIES, INC.
March 6, 1986 - January 6, 1989
FIRST AFFILIATED SECURITIES, INC.
June 6, 1979 - March 10, 1986
THOMSON MCKINNON SECURITIES INC.
November 9, 1960 - August 13, 1979
CITIGROUP GLOBAL MARKETS 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 1
Date: 11/9/1960
Registered Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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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