JF
John F. Faust
HINES PRIVATE WEALTH SOLUTIONS LLC
New York, NY 10014
Some features on this profile are disabled
CRD#: 2886632
JF
Professional summary
John Frederick Faust, who also goes by John Frederick Faust Mr., is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Frederick Faust Mr.
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Frederick Faust's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 22, 2019 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 345 Hudson Street 12th Floor, New York, NY 10014BD
CRD#: 128145
New York, NY
Past
June 1, 2016 - October 14, 2019
BARINGS SECURITIES LLC
BD
CRD#: 36929
CHARLOTTE, NC
Past
January 24, 2013 - April 22, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
SAN FRANCISCO, CA
Past
September 11, 2006 - January 16, 2013
ATLANTIC - PACIFIC CAPITAL, INC.
BD
CRD#: 38356
STAMFORD, CT
Past
February 7, 2005 - February 28, 2006
LIBERTY GROUP, LLC
BD
CRD#: 106036
OAKLAND, CA
Past
July 3, 1997 - March 18, 2003
LEND LEASE CAPITAL MARKETS, INC.
BD
CRD#: 21190
ATLANTA, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/28/2022)
RR
Alaska(11/22/2019)
RR
Arizona(11/22/2019)
RR
Arkansas(11/22/2019)
RR
California(11/22/2019)
RR
Colorado(11/22/2019)
RR
Connecticut(9/28/2022)
RR
Delaware(9/28/2022)
RR
District of Columbia(9/28/2022)
RR
Florida(9/28/2022)
RR
Georgia(9/28/2022)
RR
Hawaii(11/22/2019)
RR
Idaho(11/22/2019)
RR
Illinois(11/22/2019)
RR
Indiana(9/28/2022)
RR
Iowa(9/28/2022)
RR
Kansas(11/22/2019)
RR
Kentucky(9/28/2022)
RR
Louisiana(11/22/2019)
RR
Maine(9/28/2022)
RR
Maryland(11/22/2019)
RR
Massachusetts(9/28/2022)
RR
Michigan(9/28/2022)
RR
Minnesota(11/22/2019)
RR
Mississippi(9/28/2022)
RR
Missouri(11/22/2019)
RR
Montana(11/22/2019)
RR
Nebraska(11/22/2019)
RR
Nevada(11/22/2019)
RR
New Hampshire(9/28/2022)
RR
New Jersey(9/28/2022)
RR
New Mexico(11/22/2019)
RR
New York(11/22/2019)
RR
North Carolina(9/28/2022)
RR
North Dakota(11/22/2019)
RR
Ohio(11/24/2019)
RR
Oklahoma(11/22/2019)
RR
Oregon(11/22/2019)
RR
Pennsylvania(11/22/2019)
RR
Puerto Rico(9/28/2022)
RR
Rhode Island(11/22/2019)
RR
South Carolina(9/28/2022)
RR
South Dakota(11/22/2019)
RR
Tennessee(9/28/2022)
RR
Texas(11/22/2019)
RR
Utah(11/22/2019)
RR
Vermont(9/28/2022)
RR
Virginia(9/28/2022)
RR
Washington(11/22/2019)
RR
West Virginia(9/28/2022)
RR
Wisconsin(11/22/2019)
RR
Wyoming(11/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HINES PRIVATE WEALTH SOLUTIONS LLC
HINES PRIVATE WEALTH SOLUTIONS LLC | HINES SECURITIES, INC. | HINES REAL ESTATE SECURITIES, INC. | HINES REAL ESTATE INVESTMENTS, INC.
CRD#: 128145 / SEC#: , 8-66096
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Mailing Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Phone number
(888) 446-3773
Established
Delaware since 03/28/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
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.
