John P. Willoughby
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 Perry Willoughby, who also goes by Jack Willoughby, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 6 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1991 - May 30, 2000
FINANCIAL WEST GROUP
February 7, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
November 17, 1988 - February 11, 1989
EMMETT A LARKIN COMPANY, INC.
August 18, 1987 - November 21, 1988
FIRST AFFILIATED SECURITIES, INC.
September 26, 1978 - August 22, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 11/5/1956
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
