John R. Uglum
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 Raymond Uglum III, who also goes by John Raymond Uglum, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 4 firms and has passed the Series 63, 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
January 5, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 24, 2006 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2005 - June 12, 2006
MORGAN STANLEY MARKET PRODUCTS INC.
November 29, 1996 - June 12, 2006
MORGAN STANLEY & CO. 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
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
