John F. Thudium
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 F Thudium III, who also goes by John Thadium III, Jay Thudium, John French Thudium III, John Thudium Iii, John French Thudium Iii, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 6 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2024 - December 31, 2025
THE LEADERS GROUP, INC.
July 2, 2008 - April 5, 2011
MML INVESTORS SERVICES, LLC
April 20, 2006 - May 19, 2008
PRINCIPAL SECURITIES, INC.
April 4, 2006 - May 19, 2008
PRINCIPAL SECURITIES, INC.
February 6, 2004 - March 7, 2006
TRUIST INVESTMENT SERVICES, INC.
February 6, 2004 - March 7, 2006
TRUIST INVESTMENT SERVICES, INC.
November 12, 2003 - February 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2003 - February 3, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2002 - November 12, 2003
UBS FINANCIAL SERVICES INC.
September 11, 2002 - November 12, 2003
UBS FINANCIAL SERVICES 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 6TO
Date: 12/5/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
