John D. White
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 White, who also goes by John D. White, John White, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 19 firms and has passed the Series 63, Series 7, Series 3, 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
November 30, 2012 - August 21, 2013
LPL FINANCIAL LLC
October 22, 2012 - October 30, 2012
WORLD CAPITAL BROKERAGE, INC.
July 6, 2011 - November 30, 2012
REGAL SECURITIES, INC.
November 27, 1991 - May 31, 2011
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
April 20, 1990 - July 31, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 20, 1990 - July 31, 1990
SIGNATOR INVESTORS, INC.
July 20, 1989 - September 1, 1989
SCHAEFER SECURITIES, INC.
May 19, 1989 - July 27, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
January 16, 1989 - April 25, 1989
TOWNES & CO., INC.
December 6, 1988 - January 21, 1989
BRYAN, WORLEY & CO., INC.
March 9, 1988 - August 22, 1988
POWELL & SATTERFIELD, INC.
December 14, 1987 - March 15, 1988
MUNICIPAL SECURITIES, INCORPORATED
November 9, 1987 - November 30, 1987
REFCO SECURITIES, LLC
August 19, 1987 - October 20, 1987
MORTGAGE GOVERNMENT SECURITIES, INC.
August 14, 1987 - October 2, 1987
M.G.S.I. SECURITIES, INC.
January 8, 1985 - January 29, 1987
UMIC, INC.
November 21, 1983 - January 22, 1985
VINING-SPARKS SECURITIES, INC.
January 21, 1980 - April 5, 1982
MUNICIPAL SECURITIES, INCORPORATED
June 11, 1979 - December 28, 1979
JHM, INC.
September 7, 1978 - March 22, 1979
TRANSAMERICAN SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 1
Date: 9/22/1978
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
