John W. Fisher
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 Walter Fisher was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1997. John had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2007 - April 24, 2008
ZACKS INVESTMENT MANAGEMENT, INC.
September 21, 2006 - June 18, 2007
TD AMERITRADE, INC.
April 22, 2006 - June 18, 2007
TD AMERITRADE, INC.
November 8, 2004 - June 22, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 8, 2004 - April 22, 2006
TD AMERITRADE CLEARING, INC.
September 2, 2004 - September 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
March 9, 2004 - September 9, 2004
AMERIPRISE ADVISOR SERVICES, INC.
May 27, 2003 - October 2, 2003
MML INVESTORS SERVICES, LLC
May 27, 2003 - October 2, 2003
MML INVESTORS SERVICES, LLC
May 9, 2002 - December 2, 2003
ASSET PRESERVATION GROUP INC
January 18, 2002 - June 10, 2003
SUNAMERICA SECURITIES, INC.
April 27, 2001 - March 4, 2002
WAMU INVESTMENTS, INC.
November 29, 1999 - May 7, 2001
AMERITAS INVESTMENT COMPANY, LLC
June 23, 1999 - November 3, 1999
SUNAMERICA SECURITIES, INC.
September 29, 1997 - December 7, 1998
GUARDIAN INVESTOR SERVICES LLC
January 7, 1997 - January 16, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
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
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
