John R. Leiweke
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 Robert Leiweke, who also goes by Jack Leiweke, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 13 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1988 - October 3, 1989
TOWER SQUARE SECURITIES, INC.
April 21, 1988 - October 27, 1988
1717 CAPITAL MANAGEMENT COMPANY
March 2, 1987 - November 17, 1987
FIRST STATE FINANCIAL MANAGEMENT, INC.
July 21, 1986 - February 25, 1987
1717 CAPITAL MANAGEMENT COMPANY
September 22, 1983 - September 28, 1984
NEW ENGLAND SECURITIES
March 15, 1983 - August 30, 1983
CADARET, GRANT & CO., INC.
May 29, 1973 - February 12, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
May 29, 1973 - February 12, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
May 29, 1973 - February 12, 1974
IDS LIFE INSURANCE COMPANY
July 20, 1972 - April 1, 1974
MISSISSIPPI VALLEY INVESTMENTS
April 7, 1972 - July 19, 1972
R. ROWLAND & CO., INCORPORATED
September 1, 1971 - March 7, 1972
A. G. EDWARDS & SONS, INC.
December 17, 1970 - June 6, 1971
ST LOUIS SECURITIES, INC.
May 14, 1970 - January 1, 1971
ROWE-LIEWEKE 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
Series 1
Date: 11/12/1965
Registered Representative ExaminationSeries 00
Date: 5/9/1970
General Securities Principal ExaminationCurrent Firm
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| 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.
