John C. Brandy
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 Charles Brandy was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 2005. John had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2014 - August 15, 2015
CONOVER CAPITAL MANAGEMENT
September 24, 2014 - September 16, 2015
CONOVER SECURITIES CORPORATION
May 12, 2014 - May 15, 2014
CONOVER SECURITIES CORPORATION
May 12, 2014 - May 15, 2014
CONOVER CAPITAL MANAGEMENT
May 12, 2014 - September 16, 2015
CONOVER SECURITIES CORPORATION
April 7, 2014 - May 16, 2014
COLUMBIA RIVER ADVISORS
February 13, 2007 - January 31, 2014
EDWARD JONES
February 2, 2005 - January 31, 2014
EDWARD JONES
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
CONOVER CAPITAL MANAGEMENT
CRD#: 118393 / SEC#: 801-103469
Contact information
Regulatory assets under management
| Total Number of Accounts | 334 |
| AUM (Assets Under Management) | $ 242,108,286 |
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.
