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John Albert Maney

CRD# 318549·Registered 1971 - 2017
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Albert Maney, who also goes by Jack Maney, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1971 - 2017. John had worked at 34 firms and has passed the Series 63, Series 65, SIE and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Maney

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

55 years in the financial services industry

Current & Past Employments

TANDEM SECURITIES, INC.·CRD# 140546
BD
Northridge, CA
January 30, 2015 - June 22, 2017
WORLD CHOICE SECURITIES, INC.·CRD# 30933
BD
Woodland Hills, CA
November 4, 2009 - August 9, 2011
TRANSAMERICA FINANCIAL ADVISORS, INC.·CRD# 3600
BD
Woodland Hills, CA
August 23, 2006 - November 16, 2007
CINCINNATI ANALYSTS, INC.·CRD# 5478
BD
Cincinnati, OH
April 21, 2004 - January 14, 2005
AMERICAN GENERAL SECURITIES INCORPORATED·CRD# 13626
RIA
Los Angeles, CA
January 31, 2002 - December 31, 2002
AMERICAN GENERAL SECURITIES INCORPORATED·CRD# 13626
BD
Phoenix, AZ
December 19, 2001 - December 31, 2002
1717 CAPITAL MANAGEMENT COMPANY·CRD# 4082
BD
Newark, DE
June 7, 2001 - January 11, 2002
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
BD
Houston, TX
January 14, 1999 - May 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY·CRD# 5081
BD
Houston, TX
January 8, 1999 - May 31, 2001
EQUITY SERVICES, INC.·CRD# 265
BD
Montpelier, VT
July 22, 1998 - December 31, 1998
TRADESPOT MARKETS INC.·CRD# 29683
BD
Davie, FL
May 20, 1996 - July 20, 1998
MARKETING ONE SECURITIES, INC.·CRD# 16611
BD
Portland, OR
January 11, 1994 - June 6, 1994
RICKEL & ASSOCIATES, INC.·CRD# 7839
BD
New York, NY
March 1, 1993 - March 31, 1995
SSI SECURITIES CORP.·CRD# 8275
BD
Boca Raton, FL
June 12, 1992 - March 8, 1993
AEGON USA SECURITIES INC.·CRD# 13302
BD
Cedar Rapids, IA
May 22, 1992 - June 22, 1992
FINANCIAL HORIZONS SECURITIES CORPORATION·CRD# 20221
BD
February 11, 1992 - May 22, 1992
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Long Island City, NY
February 6, 1992 - May 26, 1992
AMERICAN TRUST SECURITIES CORPORATION·CRD# 26014
BD
June 4, 1991 - July 1, 1991
PFS INVESTMENTS INC.·CRD# 10111
BD
Duluth, GA
April 23, 1990 - December 8, 1990
SSI SECURITIES CORP.·CRD# 8275
BD
Boca Raton, FL
April 13, 1984 - May 3, 1990
KENNEY & BRANISEL MUNICIPALS, INC.·CRD# 11112
BD
March 5, 1984 - March 20, 1984
HERETH, ORR & JONES, INC.·CRD# 7210
BD
October 11, 1983 - December 16, 1983
QUICK & REILLY, INC.·CRD# 11217
BD
May 12, 1983 - January 18, 1991
CALIFORNIA MUNICIPAL INVESTORS, INC.·CRD# 7311
BD
November 4, 1982 - November 17, 1982
DONALD SHELDON & CO., INC.·CRD# 6966
BD
July 22, 1982 - November 23, 1982
TD AMERITRADE CLEARING, INC.·CRD# 5633
BD
June 8, 1981 - September 19, 1983
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
December 10, 1980 - May 6, 1981
SIGNATOR INVESTORS, INC.·CRD# 468
BD
December 10, 1980 - May 6, 1981
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
September 13, 1979 - January 16, 1980
MUNICICORP OF CALIFORNIA·CRD# 7184
BD
September 19, 1978 - December 20, 1978
DICKINSON & CO.·CRD# 689
BD
August 4, 1978 - October 6, 1978
GIBRALCO, INC.·CRD# 7345
BD
August 17, 1977 - March 17, 1978
WHITE, WELD & CO. INCORPORATED·CRD# 6802
BD
May 13, 1976 - August 18, 1977
SOGEN-SWISS INTERNATIONAL CORPORATION·CRD# 6556
BD
May 22, 1974 - October 16, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED·CRD# 412
BD
August 28, 1972 - August 7, 1973
BACHE & CO INCORPORATED·CRD# 7058
BD
March 18, 1971 - October 1, 1972

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Current Firm

TS
TANDEM SECURITIES, INC.

TANDEM SECURITIES | TANDEM SECURITIES, INC. | TANDEM SECURITIES, INC

CRD#: 140546 / SEC#: 8-67321
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609

Mailing Address

3706 W Topeka Boulevard Suite 420, Topeka, KS 66609

Phone Number

(785) 266-8333

Established

Kansas since 03/15/2006

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (34 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MILLER, KRISTOPHER WAYNEOWNER, PRESIDENT, PRINCIPAL, CCO2868616
BARR, FARON EUGENEGENERAL SECURITIES PRINCIPAL/AML COMPLIANCE OFFICER4685467
LINDNER, CARL ALBERTCFO AND FINOP6830871
MILLER, RICHARD LEEPRINCIPLE/GENERAL COMPLIANCE1176011

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2015About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2001About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 1 — Registered Representative Examination

Passed Mar 1971

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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