John E. Sundeen
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 Earl Sundeen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 5, Series 14, F04, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - November 19, 2012
CARL M. HENNIG, INC.
May 6, 2009 - October 4, 2010
BRIGGS-FICKS SECURITIES, LLC
October 10, 2007 - February 29, 2008
IFMG SECURITIES, INC.
August 27, 2003 - December 31, 2006
B. C. ZIEGLER AND COMPANY
January 11, 2002 - April 11, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 7, 1992 - August 25, 1998
BAIRD/MARK CAPITAL GROUP, A FLORIDA GENERAL PARTNERSHIP
March 10, 1992 - July 8, 2002
ROBERT W. BAIRD & CO. INCORPORATED
June 17, 1983 - July 8, 2002
ROBERT W. BAIRD & CO. INCORPORATED
August 15, 1975 - May 19, 1983
B.C. CHRISTOPHER SECURITIES CO.
August 15, 1975 - February 28, 1984
B.C. CHRISTOPHER SECURITIES CO.
January 29, 1973 - August 21, 1975
LOEWI & CO., INCORPORATED
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 55
Date: 6/29/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationF04
Date: 10/23/1980
Financial Principal ExaminationSeries 12
Date: 10/17/1973
NYSE Branch Manager ExaminationSeries 00
Date: 1/19/1973
General Securities Principal ExaminationCurrent Firm
CARL M. HENNIG, INC.
CRD#: 140 / SEC#: , 8-14509
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 24,700,000 |
Disclosures
| Regulatory Event | 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.
