John W. Pettit
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 W Pettit was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 5 firms and has passed the Series 66, 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
September 18, 2014 - February 26, 2018
KCS WEALTH ADVISORY
November 20, 2007 - December 31, 2015
INDEPENDENT FINANCIAL GROUP, LLC
November 20, 2007 - December 31, 2015
INDEPENDENT FINANCIAL GROUP, LLC
October 31, 2005 - November 27, 2007
OSAIC SERVICES, INC.
October 31, 2005 - November 27, 2007
OSAIC SERVICES, INC.
January 12, 2000 - October 31, 2005
SENTRA SECURITIES CORPORATION
January 5, 2000 - October 31, 2005
SENTRA SECURITIES CORPORATION
March 12, 1998 - December 31, 1999
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KCS WEALTH ADVISORY
CRD#: 169846 / SEC#: 801-80615
Contact information
Regulatory assets under management
| Total Number of Accounts | 954 |
| AUM (Assets Under Management) | $ 349,656,033 |
Red Flags
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