John A. Hauswirth
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 Allen Hauswirth was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2015 - July 27, 2018
SMEAD FUNDS DISTRIBUTORS, LLC
December 6, 2007 - June 1, 2015
FIRST DOMINION CAPITAL CORP.
February 2, 2005 - November 2, 2005
AMERICAL SECURITIES, INC.
November 5, 2003 - January 5, 2004
PACIFIC AMERICAN SECURITIES, LLC
August 22, 2002 - January 16, 2004
FIRST AMERICAN CAPITAL MANAGEMENT, INC.
August 6, 2001 - December 11, 2001
PACIFIC AMERICAN SECURITIES, LLC
July 27, 1995 - January 23, 2001
NATIONAL SECURITIES CORPORATION
May 23, 1994 - March 7, 1997
WELLS FARGO SECURITIES, LLC
May 3, 1991 - July 6, 1993
ROBERTSON, STEPHENS & COMPANY LLC
August 5, 1983 - September 8, 1988
BEARE BROTHERS & CO. INC.
March 9, 1983 - July 27, 1983
MARSH & CO.
April 10, 1981 - January 25, 1990
BEARE BROTHERS & CO. 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 2
Date: 7/1/1980
Non-Member General Securities ExaminationCurrent Firm
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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