John D. Wright
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 David Wright JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1964. John had worked at 8 firms and has passed the Series 63, SIE, Series 41, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2011 - July 24, 2015
CANTELLA & CO., INC.
March 8, 2002 - February 28, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 1990 - March 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 14, 1978 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
May 17, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
February 27, 1976 - July 11, 1976
SMITH OPHAM & CO INC
January 3, 1964 - February 27, 1976
CITIGROUP GLOBAL MARKETS 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 41
Date: 6/2/1979
NYSE Allied Member ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 7/21/1961
Registered Representative ExaminationSeries 40
Date: 6/5/1976
Registered Principal ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
