John R. Kastern
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 Roman Kastern was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1998 - December 31, 2018
OAKWOOD CAPITAL SECURITIES, INC.
August 31, 1994 - November 30, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 24, 1975 - September 21, 1994
MARQUETTE FINANCIAL GROUP, INC.
November 20, 1969 - January 26, 1976
INTEGRITY INVESTMENTS 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: 10/22/1965
Registered Representative ExaminationSeries 00
Date: 3/22/1973
General Securities Principal ExaminationCurrent Firm
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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