John B. Saxman
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 Brooke Saxman JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and V06 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1991 - December 31, 1996
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
January 8, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1991 - January 13, 2017
EQUITABLE ADVISORS, LLC
July 29, 1988 - December 31, 1990
MONARCH SECURITIES, INC.
May 3, 1985 - November 7, 1988
NEW ENGLAND SECURITIES
October 20, 1980 - August 2, 1984
EQUITABLE ADVISORS, LLC
September 23, 1970 - August 2, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
V06
Date: 9/18/1970
Variable Annuities Module ExaminationCurrent Firm
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
CRD#: 6907 / SEC#: , 8-18409
Contact information
Documents
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.
