John M. Peplowski
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 Michael Peplowski was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 10 firms and has passed the Series 66, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - February 23, 2012
NEW ENGLAND SECURITIES
May 20, 2010 - July 22, 2011
WOODBURY FINANCIAL SERVICES, INC.
May 20, 2010 - July 22, 2011
WOODBURY FINANCIAL SERVICES, INC.
February 23, 2010 - June 21, 2010
ALLSTATE FINANCIAL ADVISORS, LLC
March 24, 2008 - May 27, 2010
ALLSTATE FINANCIAL SERVICES, LLC
March 20, 2007 - March 3, 2008
EPLANNING SECURITIES, INC.
March 16, 2007 - March 3, 2008
EPLANNING ADVISORS INC
March 3, 2004 - March 19, 2007
AMERICAN INVESTORS COMPANY
January 26, 1998 - March 19, 2007
AMERICAN INVESTORS COMPANY
April 7, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 7, 1992 - February 6, 1998
SIGNATOR INVESTORS, INC.
December 1, 1980 - December 31, 1990
WOODBURY FINANCIAL SERVICES, INC.
January 5, 1972 - June 6, 1980
MUTUAL OF OMAHA INVESTOR SERVICES, 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: 12/30/1971
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
