John R. Coles
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 Read Coles was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 13 firms and has passed the Series 66, Series 63, Series 7, Series 53 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
December 2, 2005 - May 24, 2006
DOMINION INVESTOR SERVICES, INC.
March 23, 2005 - October 24, 2005
VOYA FINANCIAL ADVISORS, INC.
October 16, 2002 - April 15, 2003
HORNOR, TOWNSEND & KENT, LLC
February 14, 2000 - November 2, 2001
AMSOUTH INVESTMENT SERVICES, INC.
February 1, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
March 21, 1995 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
June 7, 1993 - March 28, 1995
NATIONSSECURITIES
May 8, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 23, 1989 - May 20, 1992
ROBERT THOMAS SECURITIES, INC
May 31, 1989 - June 30, 1989
FIRST AFFILIATED SECURITIES
October 27, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
October 14, 1985 - November 12, 1986
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1983 - November 23, 1985
MORGAN STANLEY DW INC.
September 23, 1980 - January 5, 1984
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
