John D. Crockett
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 David Crockett, who also goes by J David Crockett, John Albert Crockett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 6 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2001 - February 20, 2002
WELLS FARGO INVESTMENTS, LLC
August 12, 1993 - August 9, 2001
WELLS FARGO SECURITIES, LLC
May 9, 1985 - July 23, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1976 - May 9, 1985
CITIGROUP GLOBAL MARKETS INC.
February 6, 1974 - February 26, 1976
HARRIS, UPHAM & CO. INCORPORATED
December 18, 1967 - June 17, 1974
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 15
Date: 1/7/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 10/12/1961
Registered Representative ExaminationSeries 40
Date: 5/18/1972
Registered Principal ExaminationCurrent Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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