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JH

John B. Honeycutt

Some features on this profile are disabled
CRD#: 4609107
JH

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 Brooks Honeycutt, who also goes by J Brooks Honeycutt, J. Brooks Honeycutt, John Brooks Honeycutt, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2002. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

J Brooks Honeycutt | J. Brooks Honeycutt | John Brooks Honeycutt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 2019 - March 6, 2023

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHARLOTTE, NC
Past

June 13, 2017 - April 5, 2019

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

August 10, 2016 - June 6, 2017

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
RALEIGH, NC
Past

August 9, 2016 - June 6, 2017

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

January 2, 2014 - June 10, 2016

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

August 30, 2010 - January 27, 2014

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

November 1, 2007 - May 21, 2010

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

March 19, 2007 - May 21, 2010

HATTERAS INVESTMENT PARTNERS LLC

RIA
CRD#: 128703
RALEIGH, NC
Past

August 1, 2005 - March 5, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RALEIGH, NC
Past

June 6, 2005 - March 5, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
RALEIGH, NC
Past

July 29, 2004 - April 27, 2005

JBS LIBERTY SECURITIES, INC.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

December 10, 2002 - May 13, 2004

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469

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