John Templeton
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 Templeton, who also goes by John Kenneth Templeton, John Templeton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2012. John had worked at 9 firms and has passed the Series 66, Series 7TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 79, Series 52, Series 7 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 11, 2017 - March 16, 2020
REGIONS SECURITIES LLC
February 9, 2016 - October 28, 2017
FSC SECURITIES CORPORATION
February 3, 2016 - October 28, 2017
WOODBURY FINANCIAL SERVICES, INC.
February 3, 2016 - October 28, 2017
OSAIC SERVICES, INC.
February 3, 2016 - October 28, 2017
OSAIC WEALTH, INC.
February 1, 2016 - October 28, 2017
FSC SECURITIES CORPORATION
February 18, 2014 - January 7, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 18, 2014 - January 7, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 2013 - February 4, 2014
CARTY, HARDING & HEARN, INC.
December 18, 2012 - February 25, 2013
WADDELL & REED
October 2, 2012 - February 25, 2013
WADDELL & REED
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 7TO
Date: 12/13/2022
General Securities Representative ExaminationSeries 79TO
Date: 12/13/2022
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 12/13/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 12/13/2022
Operations Professional ExaminationCurrent Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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