John P. Robichaud
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 Paul Robichaud was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1998 - October 28, 1998
RETIREMENT FOUNDATIONS, INC.
June 24, 1992 - March 23, 1997
FERRIS, BAKER WATTS, LLC
May 3, 1991 - April 24, 1992
LEHMAN BROTHERS INC.
April 20, 1990 - April 29, 1991
MERIDIAN, DUNHILL & CO., INC.
November 23, 1983 - March 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1980 - October 21, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
May 20, 1980 - October 21, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 1980 - November 2, 1983
IDS LIFE INSURANCE COMPANY
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 1
Date: 5/13/1980
Registered Representative ExaminationCurrent Firm
RETIREMENT FOUNDATIONS, INC.
CRD#: 43631 / SEC#: , 8-50353
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
