John L. Fauls
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 Leo Fauls III, who also goes by John Leo Fauls, 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 5, Series 1 and Series 24 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, 1977 - October 4, 1993
HOWE BARNES HOEFER & ARNETT, INC.
August 12, 1974 - November 24, 1977
D.R. DWYER & COMPANY
September 20, 1973 - August 29, 1974
FIRST MID-AMERICA INC.
September 20, 1973 - December 3, 1975
FIRST MID AMERICA CORPORATION
June 28, 1971 - November 19, 1973
WHITE, WELD & CO. INCORPORATED
June 1, 1967 - July 7, 1971
GOLDMAN SACHS & CO. LLC
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 5
Date: 9/10/1986
Interest Rate Options ExaminationSeries 1
Date: 12/9/1966
Registered Representative ExaminationCurrent Firm
HOWE BARNES HOEFER & ARNETT, INC.
CRD#: 2240 / SEC#: , 8-13657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | SOLE OWNER | |
| COUGHLIN, DANIEL EDMUND | DIRECTOR | 2419252 |
| FOLIAS, DEAN ALLAN | CHIEF COMPLIANCE OFFICER | 3128644 |
| FRANZ, RICHARD BONAFIELD II | CFO/TREASURER | 1402348 |
| TREMAINE, THOMAS ROBERT | DIRECTOR | 1524109 |
| TROCIN, JEFFREY EDWARD | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1547237 |
| ZANK, DENNIS WILLIAM | DIRECTOR | 871971 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 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.
