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JM

John F. Masters

REGIMENT SECURITIES.
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 4184939
JM

Professional summary

John Frederick Masters JR. is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view John Frederick Masters JR.'s CRS (Customer Relationship Summary).
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

July 28, 2025 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611
BD
CRD#: 311302
CHICAGO, IL
Past

September 22, 2009 - April 11, 2012

BGC FINANCIAL, L.P.

BD
CRD#: 19801
CHICAGO, IL
Past

May 30, 2007 - September 22, 2009

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

August 31, 2005 - April 27, 2006

VESTPOINT SECURITIES, INC.

BD
CRD#: 27260
TAMPA, FL
Past

February 20, 2003 - August 9, 2005

THOMAS GROUP CAPITAL

BD
CRD#: 112901
ATLANTA, GA
Past

June 20, 2001 - October 10, 2001

CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.

BD
CRD#: 44054
DARIEN, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/28/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/7/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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

REGIMENT SECURITIES, LLC.

CRD#: 311302Chicago, IL 60611

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