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JW

John Waugh

FIRST BANKERS' BANC SECURITIES,
Memphis, TN 38138
Some features on this profile are disabled
CRD#: 7665300
JW

Professional summary

John Waugh, who also goes by John Stewart Herin, John Stewart Waugh, is a registered financial professional currently at FIRST BANKERS' BANC SECURITIES, INC located in Memphis, Tennessee.

John is registered as a RR (Registered Representative) and started their career in finance in 2023. John has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Stewart Herin | John Stewart Waugh

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) - BD

Click below to view John Waugh's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 1, 2024 - Present

FIRST BANKERS' BANC SECURITIES, INC

Office #1: 1790 Kirby Parkway Suite 201, Memphis, TN 38138
BD
CRD#: 15041
Memphis, TN
Past

January 6, 2023 - May 22, 2023

MEMPHIS CAPITAL

BD
CRD#: 8564
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/7/2024)
RR
Illinois
(7/7/2025)
RR
Tennessee
(10/1/2024)
RR
Texas
(10/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/6/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/20/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIRST BANKERS' BANC SECURITIES, INC
FIRST BANKERS' BANC SECURITIES, INC | FIRST ST. LOUIS SECURITIES, INC.

CRD#: 15041 / SEC#: , 8-31584

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

Main Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Mailing Address
1714 Deer Tracks Trail, Suite 110, St. Louis, MO 63131
Phone number
(314) 726-2880
Established
Missouri since 03/06/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANKERS' BANC INVESTMENT SERVICES LLCSHAREHOLDER
HAEDIKE, CHRISTINE DCHIEF COMPLIANCE OFFICER2489703
SPELLMEYER, ARTHUR WILLIAM IVPRESIDENT/CEO4872597

Disclosures

Regulatory Event2

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

FIRST BANKERS' BANC SECURITIES, INC

CRD#: 15041Memphis, TN 38138

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