John A. Reardon
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 Aloysius Reardon JR, who also goes by John Aloysius Reardon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - June 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
July 14, 2015 - June 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 15, 2014 - April 6, 2015
MERRIMAN CAPITAL, INC.
November 25, 2013 - January 15, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - January 15, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
August 27, 2012 - November 4, 2013
CROWELL, WEEDON & CO.
August 23, 2012 - November 4, 2013
CROWELL, WEEDON & CO.
October 21, 2010 - August 20, 2012
DOMINICK & DICKERMAN LLC
October 11, 2010 - August 20, 2012
DOMINICK & DICKERMAN LLC
June 8, 2007 - October 18, 2010
CROWELL, WEEDON & CO.
September 15, 2004 - October 18, 2010
CROWELL, WEEDON & CO.
November 16, 2001 - February 3, 2004
UBS FINANCIAL SERVICES INC.
November 13, 2001 - February 3, 2004
UBS FINANCIAL SERVICES INC.
March 26, 2001 - November 14, 2001
PERSHING LLC
October 28, 1998 - March 12, 2001
MORGAN STANLEY DW INC.
June 4, 1990 - October 30, 1998
PERSHING LLC
December 9, 1986 - June 7, 1990
THE SEIDLER COMPANIES INCORPORATED
December 2, 1985 - December 26, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 19, 1983 - June 11, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
November 16, 1981 - September 6, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 13, 1981 - November 6, 1981
PIPER SANDLER & CO.
October 24, 1980 - August 11, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH 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: 5/29/1984
Foreign Currency Options ExaminationSeries 8
Date: 11/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
