John W. Amick
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 Amick, who also goes by John Amick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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
June 18, 2015 - July 14, 2015
TRUIST INVESTMENT SERVICES, INC.
April 26, 2012 - June 20, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 29, 2010 - May 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 9, 2010 - May 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 28, 2009 - March 30, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 4, 2008 - January 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 28, 2008 - January 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 28, 2006 - April 14, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 2000 - August 28, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 8, 1998 - May 20, 1999
NYLIFE SECURITIES LLC
January 1, 1998 - June 18, 1998
METROPOLITAN LIFE INSURANCE COMPANY
January 1, 1998 - June 18, 1998
MSI FINANCIAL SERVICES, 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| STEARSMAN, SCOTT KENT | DIRECTOR | 4067766 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| 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.
