John W. Spears
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 Wilson Spears, who also goes by John Spears, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2010. John had worked at 4 firms and has passed the Series 66 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
February 12, 2013 - April 30, 2014
WFG INVESTMENTS, INC.
November 5, 2012 - December 31, 2019
AVONDALE INVESTMENT MANAGEMENT LLC
June 22, 2010 - December 31, 2012
AVONDALE WEALTH MANAGEMENT LLC
January 29, 2010 - February 22, 2011
PURSHE KAPLAN STERLING INVESTMENTS
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
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
