John F. Werne
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 Frederick Werne II, who also goes by Jack Werne, John Frederick Werne, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 11 firms and has passed the Series 63, Series 7, Series 40 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
January 2, 2013 - October 8, 2013
HILLTOP SECURITIES INC.
March 8, 2012 - November 2, 2012
CRT CAPITAL GROUP LLC
January 13, 2011 - March 26, 2012
PIERPONT CAPITAL ADVISORS LLC
February 8, 2007 - December 16, 2010
COKER & PALMER
October 18, 2002 - July 13, 2005
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 26, 1990 - October 22, 2002
MORGAN KEEGAN & COMPANY, LLC
October 4, 1989 - March 3, 1990
CORNERSTONE SECURITIES, INC.
October 3, 1988 - September 12, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
June 4, 1984 - October 3, 1988
UMIC, INC.
February 9, 1976 - September 11, 1981
G. WEEKS & CO., INC.
September 20, 1971 - June 18, 1972
HIBBARD OCONNOR & WEEKS
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
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 40
Date: 11/21/1976
Registered Principal ExaminationSeries 00
Date: 9/10/1971
General Securities Principal ExaminationCurrent Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
