John M. Thatcher
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 Morris Thatcher, CFA was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2012. John had worked at 5 firms and has passed the Series 65, Series 63, 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 18, 2021 - October 28, 2021
CORE FINANCIAL
October 10, 2017 - November 17, 2017
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 8, 2014 - November 1, 2016
TCW FUNDS DISTRIBUTORS LLC
January 30, 2014 - September 4, 2014
CP INVESTMENTS, LLC
August 20, 2012 - January 27, 2014
PIMCO INVESTMENTS LLC
Primary Firm SEC Registration
CORE FINANCIAL
CRD#: 155205 / SEC#: 801-100415
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
CORE FINANCIAL
CRD#: 155205 / SEC#: 801-100415
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 594 |
| AUM (Assets Under Management) | $ 284,599,304 |
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.
