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JB

John T. Brewer

ASHFORD SECURITIES LLC
Dallas, TX 75254
Some features on this profile are disabled
CRD#: 5035406
JB

Professional summary

John Todd Brewer, who also goes by John T Brewer, Todd Brewer, is a registered financial professional currently at ASHFORD SECURITIES LLC located in Dallas, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 2006. John has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John T Brewer | Todd Brewer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Todd Brewer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 18, 2021 - Present

ASHFORD SECURITIES LLC

Office #1: 14185 Dallas Parkway, Suite 780, Dallas, TX 75254
BD
CRD#: 305330
Dallas, TX
Past

January 10, 2020 - May 12, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

June 19, 2015 - November 1, 2019

STEBEN & COMPANY, LLC

BD
CRD#: 117808
EXCELSIOR, MN
Past

March 5, 2012 - June 17, 2015

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

February 8, 2006 - February 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PHILADELPHIA, PA
Past

January 7, 2006 - February 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/7/2024)
RR
Alaska
(6/7/2024)
RR
Arizona
(6/7/2024)
RR
Arkansas
(5/18/2021)
RR
California
(6/7/2024)
RR
Colorado
(6/7/2024)
RR
Connecticut
(6/7/2024)
RR
Delaware
(6/7/2024)
RR
District of Columbia
(6/7/2024)
RR
Florida
(6/7/2024)
RR
Georgia
(6/7/2024)
RR
Hawaii
(6/7/2024)
RR
Idaho
(6/7/2024)
RR
Illinois
(5/18/2021)
RR
Indiana
(5/18/2021)
RR
Iowa
(5/18/2021)
RR
Kansas
(5/18/2021)
RR
Kentucky
(5/9/2022)
RR
Louisiana
(5/18/2021)
RR
Maine
(6/7/2024)
RR
Maryland
(6/7/2024)
RR
Massachusetts
(6/7/2024)
RR
Michigan
(5/18/2021)
RR
Minnesota
(5/18/2021)
RR
Mississippi
(6/7/2024)
RR
Missouri
(5/18/2021)
RR
Montana
(6/7/2024)
RR
Nebraska
(5/18/2021)
RR
Nevada
(6/7/2024)
RR
New Hampshire
(6/7/2024)
RR
New Jersey
(6/7/2024)
RR
New Mexico
(6/7/2024)
RR
New York
(6/7/2024)
RR
North Carolina
(6/7/2024)
RR
North Dakota
(5/18/2021)
RR
Ohio
(5/9/2022)
RR
Oklahoma
(5/18/2021)
RR
Oregon
(6/7/2024)
RR
Pennsylvania
(6/7/2024)
RR
Puerto Rico
(6/7/2024)
RR
Rhode Island
(6/7/2024)
RR
South Carolina
(6/7/2024)
RR
South Dakota
(5/18/2021)
RR
Tennessee
(6/7/2024)
RR
Texas
(5/18/2021)
RR
Utah
(6/7/2024)
RR
Vermont
(6/7/2024)
RR
Virginia
(6/7/2024)
RR
Washington
(6/7/2024)
RR
West Virginia
(6/7/2024)
RR
Wisconsin
(5/18/2021)
RR
Wyoming
(6/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/7/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/25/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2025
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/5/2015
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHFORD SECURITIES LLC
ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Mailing Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Phone number
(469) 729-0500
Established
Delaware since 07/15/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KYLEMORE HOLDINGS LLCSOLE MEMBER
MOORE, PETER ALFRED JRCHIEF COMPLIANCE OFFICER1979755
STEIGERWALD, CARL JACOB IIICEO1231837
SUMNER, GARRETT BRUCE JRFINOP/ PFO/ POO6320306

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.

Company Information

ASHFORD SECURITIES LLC

CRD#: 305330Dallas, TX 75254

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