John G. Craddock
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 Gilbert Craddock was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 8 firms and has passed the Series 63, SIE 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
January 13, 1986 - March 7, 2017
KMS FINANCIAL SERVICES, INC.
June 15, 1984 - March 7, 2017
KMS FINANCIAL SERVICES, INC.
April 12, 1982 - July 6, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
June 9, 1980 - June 2, 1981
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 7, 1977 - March 28, 1980
GREEN HILL FINANCIAL SERVICE CORPORATION
May 23, 1975 - August 1, 1977
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 20, 1974 - March 7, 1975
HSM REAL ESTATE SECURITIES CORPORATION
September 10, 1973 - August 29, 1974
G. H. WALKER, LAIRD INCORPORATED
March 1, 1973 - September 30, 1973
LAIRD INCORPORATED
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: 2/22/1973
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 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.
