John S. Kuhn
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 Stuart Kuhn SR, who also goes by Bowie Kuhn, Jack Kuhn, John Stuart Kuhn, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1997. John had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 20, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 3, 2009 - February 18, 2011
SECURITIES AMERICA, INC.
July 6, 2009 - February 18, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 2009 - February 18, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 17, 2003 - July 8, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 17, 2003 - July 8, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 20, 2000 - April 28, 2003
CITIGROUP GLOBAL MARKETS INC.
November 10, 2000 - April 28, 2003
CITIGROUP GLOBAL MARKETS INC.
April 30, 1998 - December 12, 2000
UBS FINANCIAL SERVICES INC.
April 16, 1997 - July 2, 1998
NORTHWESTERN MUTUAL INVESTMENT 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
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
