John M. Robinson
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 Melvin Robinson III, who also goes by John Melvin Robinson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
May 7, 2007 - January 16, 2015
INVEST FINANCIAL CORPORATION
April 30, 2007 - January 16, 2015
INVEST FINANCIAL CORPORATION
June 16, 2006 - May 9, 2007
PFIC ADVISORS, INC.
August 17, 2005 - April 30, 2007
PFIC SECURITIES CORPORATION
July 28, 2004 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
November 20, 2003 - July 28, 2004
LPL FINANCIAL LLC
November 20, 2003 - July 28, 2004
LPL FINANCIAL LLC
November 13, 2002 - February 13, 2003
SECU BROKERAGE SERVICES
July 8, 2002 - February 13, 2003
SECU BROKERAGE SERVICES
March 25, 2002 - July 1, 2002
CUSO FINANCIAL SERVICES, L.P.
March 21, 2000 - July 1, 2002
CUSO FINANCIAL SERVICES, L.P.
November 23, 1998 - April 12, 2000
GUARANTY BROKERAGE SERVICES, INC.
May 8, 1997 - September 23, 1997
AEGON USA SECURITIES INC.
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
