John Schoen

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CRD#: 6734563

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 Schoen, who also goes by John M Schoen, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2017. John had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John M Schoen

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

August 14, 2024 - May 16, 2025

WEALTHSPRING CAPITAL LLC

RIA

CRD#: 301040

Lockport, IL

Past

September 26, 2022 - October 17, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Lockport, IL

Past

September 26, 2022 - October 17, 2023

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

June 10, 2022 - September 26, 2022

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

June 10, 2022 - September 26, 2022

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

October 20, 2021 - May 26, 2022

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CHICAGO, IL

Past

October 20, 2021 - May 26, 2022

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CHICAGO, IL

Past

February 28, 2017 - July 27, 2021

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

January 25, 2017 - July 27, 2021

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/28/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2017

General Securities Representative Examination

Current Firm

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

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Contact information

Main Address

2 Westchester Park Drive Suite 108, West Harrison, NY 10604

Mailing Address

Phone number

(914) 419-2207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- WEALTHSPRING CAPITAL LLC (2/3/2026)

Regulatory assets under management

Total Number of Accounts	134
AUM (Assets Under Management)	$ 514,983,003

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.

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Advisor Monitoring

Firm Stability Insights

John Schoen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

Primary Firm SEC Registration

WEALTHSPRING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2017

Current Firm

WEALTHSPRING CAPITAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING CAPITAL LLC

TRUST BUT VERIFY

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