John S. Cotten
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 Spencer Cotten was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2015 - January 3, 2024
CWS INVESTMENTS
June 6, 2013 - January 3, 2024
CWS INVESTMENTS
August 8, 2003 - July 18, 2006
CLARK SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CWS INVESTMENTS
CRD#: 23551 / SEC#: , 8-40494
Contact information
FINRA licenses (34 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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