John R. Larson
Professional summary
John Robert Larson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, John had worked at 9 firms, which includes WADDELL & REED, IVY DISTRIBUTORS INC., PUTNAM INVESTMENT MANAGEMENT LLC, PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP, JACKSON NATIONAL LIFE DISTRIBUTORS LLC, NATIONAL PLANNING CORPORATION, LPL FINANCIAL LLC, AVANTAX INVESTMENT SERVICES INC., FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2009 - April 28, 2017
WADDELL & REED
July 1, 2008 - April 28, 2017
WADDELL & REED
July 1, 2008 - April 28, 2017
IVY DISTRIBUTORS, INC.
February 7, 2008 - June 2, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
July 5, 2006 - February 1, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
May 21, 2002 - June 2, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 15, 2002 - May 2, 2002
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 14, 2000 - May 2, 2002
NATIONAL PLANNING CORPORATION
March 17, 2000 - July 14, 2000
LPL FINANCIAL LLC
September 8, 1998 - March 28, 2000
AVANTAX INVESTMENT SERVICES, INC.
February 15, 1996 - April 11, 1996
FIRST ASSET MANAGEMENT, 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
