John H. Cottrell
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 H. Cottrell IV, who also goes by John H Cottrell IV, John Hall Cottrell Iv, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2016 - January 6, 2021
BALEFIRE, LLC
June 19, 2015 - February 23, 2021
LPL FINANCIAL LLC
May 13, 2014 - June 19, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - June 19, 2015
BBVA SECURITIES INC.
October 29, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 5, 2008 - October 22, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 12, 2007 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 19, 2006 - April 5, 2007
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
October 12, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
March 2, 1998 - October 5, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 22, 1987 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
November 22, 1977 - June 22, 1978
BRITTENUM & ASSOCIATES, INC.
Primary Firm SEC Registration
BALEFIRE, LLC
CRD#: 168733 / SEC#: 801-78506
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 12/6/1977
Registered Representative ExaminationCurrent Firm
BALEFIRE, LLC
CRD#: 168733 / SEC#: 801-78506
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,527 |
| AUM (Assets Under Management) | $ 1,236,940,085 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
