John D. Opp
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 Daniel Opp was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 4 firms and has passed the Series 63, SIE, Series 50, Series 52 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
August 9, 2016 - September 30, 2019
GEORGE K. BAUM & COMPANY
July 21, 2009 - December 23, 2013
KEY INVESTMENT SERVICES LLC
May 23, 2007 - July 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2004 - May 12, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
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
Current Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
