Juan A. Bermudez
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.
Juan Antonio Bermudez, who also goes by John Bermudez, Juan Antonio Bermudez Jr, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1996. Juan had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 31 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
March 26, 2013 - May 9, 2014
TD AMERITRADE, INC.
March 26, 2013 - May 9, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 26, 2013 - May 9, 2014
TD AMERITRADE, INC.
October 1, 2012 - March 11, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 11, 2013
J.P. MORGAN SECURITIES LLC
September 24, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 24, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 21, 2007 - September 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2007 - September 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2005 - March 28, 2005
E*TRADE SECURITIES LLC
October 24, 2002 - January 10, 2003
CITICORP INVESTMENT SERVICES
September 19, 2000 - October 2, 2002
CIBC WORLD MARKETS CORP.
April 21, 1997 - September 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 14, 1996 - April 29, 1997
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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