John W. Spooner
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 Wallace Spooner, who also goes by John W Spooner, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 8 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2007 - December 31, 2018
WORLD INVESTMENTS, LLC
December 4, 1987 - December 31, 2018
WORLD INVESTMENTS, LLC
August 7, 1987 - December 8, 1987
MONARCH INVESTMENTS INC.
March 18, 1987 - August 17, 1987
STUART STONE & CO., LLC
November 12, 1985 - March 19, 1987
FOCUS SECURITIES, INC.
October 10, 1980 - November 25, 1985
CARDELL & ASSOCIATES, INCORPORATED
March 28, 1974 - November 1, 1980
RUSHMORE CAPITAL, INC.
July 19, 1973 - June 3, 1974
GLOBAL SEC INC
April 2, 1973 - July 26, 1973
HOWARD LAWRENCE & CO., INC.
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
Series 1
Date: 3/24/1973
Registered Representative ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
