John J. Oestreicher
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 Joseph Oestreicher JR, who also goes by John Joseph Oestreicher, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 7 firms and has passed the Series 65, Series 63, Series 1 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
November 12, 2010 - March 5, 2019
UNITED CAPITAL FINANCIAL ADVISORS
December 20, 2007 - July 29, 2011
MARKETSPACE FINANCIAL
January 2, 2002 - December 22, 2011
MSF SECURITIES, INC.
December 22, 1995 - February 16, 2000
SECURITIES AMERICA, INC.
November 19, 1989 - November 3, 1995
OSAIC WEALTH, INC.
February 11, 1976 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 27, 1972 - February 26, 1976
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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: 3/13/1972
Registered Representative ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
