John A. Brouse
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 Ammon Brouse JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2007. John had worked at 3 firms and has passed the 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
November 17, 2011 - December 31, 2015
SWBC INVESTMENT SERVICES, LLC
April 28, 2009 - November 18, 2011
CUNA BROKERAGE SERVICES, INC.
April 28, 2009 - November 18, 2011
CUNA BROKERAGE SERVICES, INC.
March 5, 2007 - April 9, 2009
EDWARD JONES
February 2, 2007 - April 9, 2009
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
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
