John P. Atwill
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 Powell Atwill, who also goes by John P Atwill, John Atwill, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 5 firms and has passed the Series 66, 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
September 9, 2011 - March 3, 2021
SWBC INVESTMENT ADVISORY SERVICES LLC
July 17, 2008 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2008 - July 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2007 - June 26, 2008
FIRST LEGACY SECURITIES, LLC
October 12, 2001 - June 26, 2008
FIRST LEGACY SECURITIES, LLC
July 23, 1997 - October 11, 2001
TRUIST INVESTMENT SERVICES, INC.
March 29, 1996 - July 17, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
SWBC INVESTMENT ADVISORY SERVICES LLC
CRD#: 156155 / SEC#: 801-72669
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
SWBC INVESTMENT ADVISORY SERVICES LLC
CRD#: 156155 / SEC#: 801-72669
Contact information
SEC notice filing (2 States and Territories)
Red Flags
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