John G. Macfarlane
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 Granger Macfarlane IV, who also goes by Jack Macfarlane, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2007. John had worked at 4 firms and has passed the Series 63, 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 7, 2014 - November 4, 2019
LAZARD FRERES & CO. LLC
September 26, 2008 - July 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
September 26, 2008 - July 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
October 18, 2007 - October 7, 2008
LEHMAN BROTHERS INC.
October 18, 2007 - September 22, 2008
LEHMAN BROTHERS 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
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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.
