John D. Templeton
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 Douglas Templeton was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1961. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2006 - May 14, 2015
KOVACK SECURITIES INC.
August 6, 2004 - December 11, 2006
KMS FINANCIAL SERVICES, INC.
November 19, 1990 - August 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 18, 1988 - November 8, 1990
DAIN RAUSCHER INCORPORATED
July 18, 1977 - July 27, 1988
WEDBUSH SECURITIES INC.
October 11, 1973 - June 10, 1977
E. F. HUTTON & COMPANY INC
August 4, 1961 - November 15, 1973
DOMIK CORP.
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
PC
Date: 5/31/1977
AMEX Put and Call ExamSeries 1
Date: 8/4/1961
Registered Representative ExaminationSeries 40
Date: 7/12/1977
Registered Principal ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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