AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JC

John F. Crowley

Some features on this profile are disabled
CRD#: 57992
JC

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 Francis Crowley was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1970. John had worked at 6 firms and has passed the Series 63 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 11, 1995 - December 7, 1999

BARINGS SECURITIES LLC

BD
CRD#: 36929
CHARLOTTE, NC
Past

October 21, 1993 - August 2, 1994

TAMARACK DISTRIBUTORS INC.

BD
CRD#: 11181
MINNEAPOLIS, MN
Past

September 5, 1985 - September 23, 1991

CROWLEY & BUSK, INCORPORATED

BD
CRD#: 16578
Past

June 5, 1978 - May 11, 1984

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
Past

July 27, 1977 - February 5, 1978

ECONOMIC RESEARCH ANALYSTS, INC.

BD
CRD#: 247
Past

January 14, 1970 - March 5, 1976

CROWLEY KAISER & MCKENNA

BD
CRD#: 1000005

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/1995
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 00
Date: 12/22/1969
General Securities Principal Examination

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

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.

Company Information

BARINGS SECURITIES LLC

CRD#: 36929

TRUST BUT VERIFY

Monitor John Crowley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.