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JB

John J. Brett

Some features on this profile are disabled
CRD#: 726194
JB

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 Joseph Brett, who also goes by John Joseph Brett, John Brett, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 24, Series 9, Series 23 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Joseph Brett | John Brett

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

October 21, 2020 - August 12, 2021

VIGILANT DISTRIBUTORS, LLC

BD
CRD#: 285573
Chadds Ford, PA
Past

May 20, 2020 - October 15, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Staten Island, NY
Past

February 14, 2013 - May 21, 2018

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

September 18, 2007 - November 29, 2012

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
SOMERSET, NJ
Past

September 18, 2007 - November 29, 2012

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
SOMERSET, NJ
Past

September 18, 2007 - November 29, 2012

NEW ENGLAND SECURITIES

BD
CRD#: 615
SOMERSET, NJ
Past

September 18, 2007 - November 29, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SOMERSET, NJ
Past

February 23, 2006 - September 29, 2006

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

BD
CRD#: 17580
BOSTON, MA
Past

October 11, 2005 - August 10, 2007

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
BOSTON, MA
Past

February 18, 2003 - September 6, 2005

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

March 23, 1981 - February 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 23
Date: 2/27/2012
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 8
Date: 5/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

VD
VIGILANT DISTRIBUTORS, LLC
HERALD INVESTMENT MARKETING, LLC | VIGILANT DISTRIBUTORS, LLC

CRD#: 285573 / SEC#: , 8-69854

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Mailing Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Phone number
(610) 558-1750
Established
Pennsylvania since 06/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHADDS FORD INVESTMENT MANAGEMENT, LLCOWNER
CHISM, PATRICK ANDREWCEO AND CCO2875421
FAIA, SALVATORE ROCCO IIPRINCIPAL OPERATIONS OFFICER6813402
SCARPATI, GERARDCFO AND PRINCIPAL FINANCIAL OFFICER2313132

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.

Company Information

VIGILANT DISTRIBUTORS, LLC

CRD#: 285573

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