John C. Drennan
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 C. Drennan, who also goes by John C. Drennan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2009. John had worked at 4 firms and has passed the Series 63, Series 22 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2011 - May 4, 2012
SANDLAPPER SECURITIES, LLC
November 2, 2010 - August 29, 2011
CAPWEST SECURITIES, INC.
November 6, 2009 - November 3, 2010
MILKIE/FERGUSON INVESTMENTS, INC.
January 6, 2009 - October 30, 2009
KCD FINANCIAL, 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
Series 62
Date: 1/5/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
