John W. Logan
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 Wesley Logan SR, who also goes by John Logan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 9 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - February 29, 2016
BARING FINANCIAL LLC
January 3, 2012 - December 31, 2012
WADDELL & REED
January 3, 2012 - December 31, 2012
WADDELL & REED
September 30, 2010 - December 31, 2011
FIRST ALLIED ADVISORY SERVICES, INC.
February 25, 2009 - December 31, 2011
FIRST ALLIED SECURITIES, INC.
December 11, 2006 - June 9, 2008
FIRST ALLIED SECURITIES, INC.
October 4, 2004 - October 7, 2010
GREENBOOK INVESTMENT MANAGEMENT, INC.
January 16, 2003 - December 31, 2004
XELAN FINANCIAL PLANNING, INC.
November 25, 2002 - January 16, 2003
XELAN INVESTMENT SERVICES, INC.
March 2, 2000 - February 2, 2001
WOODBURY FINANCIAL SERVICES, INC.
June 11, 1998 - February 8, 2000
J.C. BRADFORD & CO.
Primary Firm SEC Registration
BARING FINANCIAL LLC
CRD#: 173761 / SEC#: 801-122840
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
BARING FINANCIAL LLC
CRD#: 173761 / SEC#: 801-122840
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,003 |
| AUM (Assets Under Management) | $ 188,071,412 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/20/2023 | ||
| 07/18/2022 |
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.
