John W. Spach
Professional summary
John William Spach 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 8 firms, which includes KESTRA INVESTMENT SERVICES LLC, WEALTHSPIRE RETIREMENT ADVISORY, FINANCIAL TELESIS INC, VENBROOK FINANCIAL SERVICES LLC, FMB WEALTH MANAGEMENT, FINANCIAL WEST GROUP, SENTRA SECURITIES CORPORATION, MML INVESTORS SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - June 18, 2018
KESTRA INVESTMENT SERVICES, LLC
April 25, 2013 - August 24, 2018
WEALTHSPIRE RETIREMENT ADVISORY
August 24, 2007 - July 24, 2014
FINANCIAL TELESIS INC
May 21, 2007 - July 24, 2014
FINANCIAL TELESIS INC
October 27, 2005 - June 12, 2007
VENBROOK FINANCIAL SERVICES, LLC
April 26, 2005 - December 12, 2005
FMB WEALTH MANAGEMENT
October 10, 2002 - October 3, 2007
FINANCIAL WEST GROUP
October 9, 2002 - October 3, 2007
FINANCIAL WEST GROUP
December 12, 2000 - November 18, 2002
SENTRA SECURITIES CORPORATION
October 5, 2000 - November 18, 2002
SENTRA SECURITIES CORPORATION
April 20, 1998 - October 6, 2000
KESTRA INVESTMENT SERVICES, LLC
April 10, 1996 - August 7, 1998
MML INVESTORS SERVICES, LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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