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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JB

John L. Bracken

4LB INVESTMENTS
SAN DIEGO, CA
Some features on this profile are disabled
CRD#: 4118096
JB

Professional summary

John Lloyd Bracken JR., who also goes by John Lloyd Bracken, Jr., is a registered financial advisor currently at 4LB INVESTMENTS, LLC located in San Diego, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Lloyd Bracken, Jr.

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) - RIA

Click below to view John Lloyd Bracken JR.'s CRS (Customer Relationship Summary).

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

Current

May 31, 2012 - Present

4LB INVESTMENTS, LLC

RIA
CRD#: 121244
SAN DIEGO, CA
Past

August 7, 2002 - December 31, 2005

4LB INVESTMENTS, LLC

RIA
CRD#: 121244
SAN DIEGO, CA
Past

February 2, 2000 - September 20, 2000

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(5/31/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/30/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2000
General Securities Representative Examination

Current Firm

4I
4LB INVESTMENTS, LLC
4LB INVESTMENTS, LLC

CRD#: 121244 / SEC#:

California
Registered Investment Advisory firm - (8/7/2002 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
San Diego, CA
Mailing Address
Phone number
(858) 232-3489
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts42
AUM (Assets Under Management)$ 20,536,132

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.

Company Information

4LB INVESTMENTS, LLC

CRD#: 121244San Diego, CA

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