John B. Deane
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 Breed Deane was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1966. John had worked at 3 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1997 - October 31, 1997
LOCKWOOD FINANCIAL SERVICES, INC.
January 31, 1980 - June 9, 1997
UBS FINANCIAL SERVICES INC.
March 14, 1966 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 11/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/11/1966
Registered Representative ExaminationSeries 40
Date: 6/16/1977
Registered Principal ExaminationSeries 12
Date: 2/7/1977
NYSE Branch Manager ExaminationCurrent Firm
LOCKWOOD FINANCIAL SERVICES, INC.
CRD#: 40655 / SEC#: , 8-49116
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LFG, INC. | PARENT CORPORATION | |
| BICKET, PATRICIA ANN | SECRETARY | 4030557 |
| BRUECKNER, RICHARD FREDERICK | DIRECTOR | 878486 |
| DETWILER, ELIZABETH C | ASST. SECRETARY | 4361137 |
| DUDDIE, ROBERT JOSEPH | CHIEF OPERATIONS OFFICER/VP | 1498367 |
| GIZZI, EMIL | CHIEF FINANCIAL OFFICER/FINOP | 1330391 |
| LOGUE, MICHELLE MARIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2169361 |
| MASTRO, THOMAS J. | TREASURER | 3242279 |
| MCCLELLAN, CHRISTINA MARIE | CHIEF FINANCIAL OFFICER | 4369407 |
| REINHART, LEONARD ALAN | DIRECTOR/VP | 871907 |
| SHEA, BRIAN THOMAS | CHAIRMAN | 1176298 |
| SISLER, HEATHER | ASST. SECRETARY | 4604058 |
| ZANGRE, ANTHONY | VICE PRESIDENT | 4240260 |
Red Flags
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