John A. Flegal
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 Arthur Flegal was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 13 firms and has passed the Series 65, Series 66, 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
August 12, 2016 - September 17, 2018
LWI FINANCIAL INC.
August 12, 2016 - June 22, 2018
LORING WARD SECURITIES INC.
February 1, 2016 - July 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2016 - July 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2015 - November 19, 2015
SECURITIES AMERICA ADVISORS, INC.
July 8, 2014 - April 27, 2015
THE PACIFIC FINANCIAL GROUP, INC.
January 15, 2014 - April 21, 2014
ALLWORTH FINANCIAL, L.P.
January 15, 2014 - April 21, 2014
AW SECURITIES
October 1, 2012 - December 31, 2013
ALPS DISTRIBUTORS, INC.
March 23, 2010 - May 11, 2012
QUASAR DISTRIBUTORS, LLC
November 25, 2008 - May 11, 2012
NIEMANN CAPITAL MANAGEMENT INC
April 2, 2007 - April 28, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 28, 2008
MORGAN STANLEY & CO. LLC
March 5, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
March 5, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
August 31, 2006 - February 16, 2007
CITIGROUP GLOBAL MARKETS INC.
May 9, 2006 - February 16, 2007
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
Current Firm
LWI FINANCIAL INC.
CRD#: 111861 / SEC#: 801-55934
Contact information
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.
