John W. Mcconnell
Professional summary
John William Mcconnell, who also goes by John W Mcconnell, John William Mcconnell Jr, John Mcconnell, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John William Mcconnell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2022 - Present
VANGUARD ADVISERS, INC.
Office #1: 14321 North Northsight Blvd, Scottsdale, AZ 85260June 29, 2022 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260October 27, 2020 - May 27, 2022
ONESEVEN
September 22, 2020 - October 7, 2020
SOWELL MANAGEMENT
August 18, 2014 - November 4, 2014
PRINCIPAL SECURITIES, INC.
February 18, 2014 - August 5, 2014
MSI FINANCIAL SERVICES, INC.
October 11, 2013 - August 5, 2014
MSI FINANCIAL SERVICES, INC.
January 5, 2004 - August 20, 2004
MORGAN STANLEY DW INC.
December 4, 2003 - August 20, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/31/2022)
(7/1/2022)
(5/31/2022)
Exams
Series 7TO
Date: 6/29/2022
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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