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JK

John F. Klocek

LOOMIS SAYLES DISTRIBUTORS, L.P.
Boston, MA 02111
Some features on this profile are disabled
CRD#: 6256015
JK

Professional summary

John Francis Klocek, who also goes by John Klocek, is a registered financial professional currently at LOOMIS SAYLES DISTRIBUTORS, L.P. located in Boston, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 2014. John has worked at 2 firms and has passed the Series 63, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Klocek

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) - BD

Click below to view John Francis Klocek's CRS (Customer Relationship Summary).

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

Current

June 1, 2023 - Present

LOOMIS SAYLES DISTRIBUTORS, L.P.

Office #1: One Financial Center, Boston, MA 02111
BD
CRD#: 41795
Boston, MA
Past

February 12, 2014 - May 30, 2023

WELLINGTON FUNDS DISTRIBUTORS INC.

BD
CRD#: 152768
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(6/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LOOMIS SAYLES DISTRIBUTORS, L.P.
LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795 / SEC#: , 8-49575

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Center, Boston, MA 02111
Mailing Address
One Financial Center, Boston, MA 02111-2620
Phone number
(617) 482-2450
Established
Delaware since 07/25/1996
Firm type
Partnership
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#
LOOMIS SAYLES & COMPANY, L.P.LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER
KLOCEK, JOHN FRANCISVICE PRESIDENT, CHIEF COMPLIANCE OFFICER6256015
LEGER, MAURICE PAULPRESIDENT4575004
LOOMIS SAYLES DISTRIBUTORS, INC.SOLE GENERAL PARTNER
MCCARTHY, MARYVP, SECRETARY
O'CONNOR, OLGA A.VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL7436902

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

LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795Boston, MA 02111

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