John J. Fowlds
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 Jeffery Fowlds, who also goes by Jeff J Fowlds, Jeff Fowlds, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 14 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 8 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
May 8, 2014 - November 16, 2016
AGA SECURITIES, LLC
July 10, 2013 - April 8, 2014
ASCENDIANT CAPITAL MARKETS, LLC
August 5, 2008 - August 1, 2012
B. RILEY WEALTH MANAGEMENT
March 5, 2007 - July 2, 2008
FERRIS, BAKER WATTS, LLC
January 8, 2001 - January 5, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 1, 1999 - December 20, 2000
TUCKER ANTHONY INCORPORATED
July 9, 1999 - November 1, 1999
CLEARY GULL INC.
February 14, 1998 - April 14, 1999
HOAK BREEDLOVE WESNESKI & CO.
December 20, 1995 - January 14, 1998
HANIFEN, IMHOFF INC.
May 31, 1994 - December 4, 1995
GEORGE K. BAUM & COMPANY
June 3, 1992 - May 31, 1994
GKB, INC.
May 13, 1991 - June 22, 1992
RAUSCHER PIERCE REFSNES, INC.
March 25, 1988 - May 6, 1991
MORGAN STANLEY DW INC.
May 29, 1985 - September 24, 1987
MONTGOMERY SECURITIES
December 21, 1979 - July 24, 1984
MORGAN STANLEY DW INC.
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 8
Date: 10/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AGA SECURITIES, LLC
CRD#: 122781 / SEC#: , 8-65531
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
