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JR

John A. Ryan

Some features on this profile are disabled
CRD#: 2708996
JR

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 Anthony Ryan was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1996. John had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 15, 2009 - October 30, 2009

CHITTENDEN SECURITIES, LLC.

BD
CRD#: 45190
BURLINGTON, VT
Past

August 23, 2007 - October 11, 2022

PEOPLE'S SECURITIES, INC.

BD
CRD#: 13704
Milford, CT
Past

January 31, 2003 - July 30, 2007

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

February 25, 2000 - December 31, 2002

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

June 22, 1999 - February 9, 2000

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
JOHNSTON, RI
Past

March 18, 1996 - June 11, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/18/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/1999
General Securities Principal Examination

Current Firm

CS
CHITTENDEN SECURITIES, LLC.
CHITTENDEN INVESTMENT SERVICES, INC. | CHITTENDEN SECURITIES, LLC. | CHITTENDEN SECURITIES, INC. | CHITTENDEN SECURITIES | CHITTENDEN SECURITES, INC.

CRD#: 45190 / SEC#: , 8-50997

BD
Terminated by SEC on 12/29/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Vermont since 03/31/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PEOPLE'S UNITED BANKDIRECT OWNER
BEIRNE, DENNIS PATRICKCEO/PRESIDENT2306864
BENOIT, PAUL ANTHONYBD-CHIEF COMPLIANCE OFFICER/SECRETARY3053504
CARPENTER, MOLLY ELIZABETHOPERATIONS MANAGER/EXECUTIVE REPRESENTATIVE4683532
HARKINS, MICHAEL EUGENEDIRECTOR1449431
LOVELESS, BRIANDIRECTOR
MCELWEE, BRUCE TIMOTHYFINANCIAL OPERATIONS PRINCIPAL1743373
SANDBERG, LOUISEDIRECTOR

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CHITTENDEN SECURITIES, LLC.

CRD#: 45190

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