John C. Burrow
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 Clifford Burrow was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 1, Series 24 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
June 14, 2013 - July 8, 2013
CETERA WEALTH SERVICES, LLC
November 2, 2010 - December 31, 2012
CETERA WEALTH SERVICES, LLC
January 4, 2010 - July 8, 2013
CETERA WEALTH SERVICES, LLC
May 6, 2009 - October 1, 2009
JOHN HANCOCK DISTRIBUTORS LLC
August 16, 2002 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - April 17, 2009
JOHN HANCOCK DISTRIBUTORS LLC
April 4, 1997 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
July 31, 1992 - January 16, 1996
PASADENA FUND SERVICES, INC.
July 18, 1990 - December 31, 1991
TORCHMARK DISTRIBUTORS, INC.
February 25, 1988 - December 31, 1991
WADDELL & REED
September 29, 1986 - January 14, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
October 26, 1984 - June 4, 1986
ANGELES SECURITIES CORPORATION
September 23, 1983 - June 11, 1984
INTEGRATED RESOURCES MARKETING, INC.
February 24, 1982 - June 15, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
October 31, 1975 - August 25, 1977
INTEGRATED RESOURCES EQUITY CORPORATION
October 3, 1973 - February 5, 1976
WADDELL & REED
March 25, 1969 - June 10, 1977
CHASE INVESTMENT SERVICES OF BOSTON, 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: 9/29/1961
Registered Representative ExaminationSeries 00
Date: 3/10/1969
General Securities Principal ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
