John C. Pohlhaus

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CRD#: 364941

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 Charles Pohlhaus was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1969. John had worked at 1 firm and has passed the Series 40 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 1969 - March 24, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam

Series 40

Date: 3/27/1972

Registered Principal Examination

Current Firm

ALEX. BROWN & SONS INCORPORATED

ALEX. BROWN & SONS | ALEX. BROWN & SONS, INC. | ALEX. BROWN & SONS INCORPORATED

CRD#: 20 / SEC#: , 8-31213

Terminated by SEC on 02/07/1998

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Contact information

Main Address

Mailing Address

Phone number

Established

Maryland since 12/14/1983

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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