John D. Stroud
Professional summary
John David Stroud was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John David Stroud was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1999. John had worked at 3 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2006 - July 10, 2008
LEHMAN BROTHERS INC.
May 1, 2006 - July 10, 2008
LEHMAN BROTHERS INC.
July 17, 2003 - May 4, 2006
A. G. EDWARDS & SONS, INC.
July 17, 2003 - May 4, 2006
A. G. EDWARDS & SONS, INC.
April 29, 2002 - July 25, 2003
CITIGROUP GLOBAL MARKETS INC.
March 25, 2002 - July 25, 2003
CITIGROUP GLOBAL MARKETS INC.
November 8, 1999 - April 3, 2002
A. G. EDWARDS & SONS, 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
Current Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
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