John L. Schroeder
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 Louis Schroeder was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1966. John had worked at 6 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 1986 - November 16, 1990
AXE SECURITIES CORPORATION
February 11, 1977 - November 3, 1978
KEYSTONE SECURITIES CO. INC.
December 23, 1976 - October 26, 1978
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 2, 1976 - October 25, 1978
CORNERSTONE FINANCIAL SERVICES, INC.
April 24, 1969 - March 1, 1972
PIEDMONT CAPITAL CORPORATION
March 7, 1966 - March 1, 1972
LEXINGTON SECURITY MANAGERS INC
State Registrations and Notice Filings
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Exams
Series 40
Date: 8/28/1976
Registered Principal ExaminationCurrent Firm
AXE SECURITIES CORPORATION
CRD#: 59 / SEC#: , 8-1123
Contact information
Documents
Red Flags
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