John H. Cecil
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 Howe Cecil JR was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1965. John had worked at 6 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 1999 - December 31, 2003
INVESTORS SECURITY COMPANY, INC.
December 16, 1998 - August 16, 2011
TRENDLINE CAPITAL MANAGEMENT
April 15, 1988 - December 17, 1998
LPL FINANCIAL LLC
May 1, 1978 - April 19, 1988
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 1976 - June 3, 1978
CECIL, WALLER & STERLING, INC.
January 4, 1965 - May 14, 1976
THE CECIL-WALLER 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
Current Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| 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.
