John J. Dwyer
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 Dwyer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2018 - May 7, 2018
IFS SECURITIES
January 3, 2013 - December 11, 2017
CANTOR FITZGERALD & CO.
October 25, 2010 - December 18, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 17, 2008 - October 21, 2010
NORTHEAST SECURITIES, LLC
January 18, 2008 - June 3, 2008
FCG ADVISORS, LLC
July 11, 2007 - January 2, 2008
DAVID M POLEN SECURITIES, LLC
May 5, 2000 - May 22, 2000
BGC FINANCIAL, L.P.
September 2, 1997 - August 24, 1998
BELLE HAVEN INVESTMENTS, L.P.
April 20, 1994 - July 29, 1997
E.A. MOOS & CO. L.P.
January 13, 1992 - December 22, 1992
DOUGLAS JAMES SECURITIES, INC.
June 21, 1989 - May 9, 1994
ASCH-DWYER MUNICIPAL SECURITIES, L.P.
September 4, 1987 - April 11, 1989
SEATTLE-NORTHWEST SECURITIES CORPORATION
July 5, 1983 - August 6, 1987
LEHMAN BROTHERS INC.
January 26, 1982 - June 30, 1983
PERSHING LLC
November 23, 1976 - March 29, 1982
EHRLICH-BOBER & CO., INC.
May 20, 1971 - February 23, 1976
SBC WARBURG DILLON READ INC.
January 7, 1971 - April 15, 1971
DUPONT WALSTON, 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 1
Date: 12/31/1970
Registered Representative ExaminationSeries 40
Date: 9/22/1977
Registered Principal ExaminationCurrent Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 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.
