John A. Wachendorf
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 Aaron Wachendorf, who also goes by John A Wachendorf, John Aaron Wachendorf, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2021 - March 3, 2026
FUTU CLEARING INC
November 12, 2020 - January 2, 2022
CHARLES SCHWAB & CO., INC.
September 19, 2017 - September 10, 2018
SCOTTRADE, INC.
June 1, 2006 - August 2, 2007
NATIONAL INVESTOR SERVICES CORP.
June 1, 2006 - September 2, 2021
TD AMERITRADE CLEARING, INC.
February 24, 1999 - June 8, 2006
RBC CAPITAL MARKETS, LLC
October 23, 1996 - January 6, 1998
FIRSTAR INVESTMENT SERVICES,INC.
March 22, 1996 - May 9, 1996
CHATFIELD DEAN & CO., 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FUTU CLEARING INC
CRD#: 298769 / SEC#: , 8-70215
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
