John E. Brindus

Some features on this profile are disabled

CRD#: 815976

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 Elek Brindus was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1975. John had worked at 6 firms and has passed the Series 6TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1) 3/6/2023 - Vision Financial Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 03/01/2023 - 80 Hours Per Month/ all Hours During Securities Trading - Time Spent 40% 3) 02/22/2023 - Brindus Insurance & Financial Services - Non-Variable Insurance - Agent - Canton, OH 44721 - Investment related - 15 Hours per month - Start date: 03/06/2004. 3) 3/10/2023 - Vision Financial Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 03/01/2023 - 80 Hours Per Month/80 Hours During Securities Trading - Time Spent 40% - I provide investment advisory services through Vision Financial Management, an independent investment advisor firm. I started this business activity in 03/2023. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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

March 9, 2023 - December 8, 2023

VISION FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 170003

CUYAHOGA FALLS, OH

Past

March 6, 2023 - December 14, 2023

LPL FINANCIAL LLC

CRD#: 6413

CUYAHOGA FALLS, OH

Past

June 8, 2017 - March 8, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

NORTH CANTON, OH

Past

September 25, 1995 - March 8, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NORTH CANTON, OH

Past

July 9, 1995 - October 20, 1995

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

December 8, 1975 - July 25, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

December 8, 1975 - July 25, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VISION FINANCIAL MANAGEMENT, LLC

CRD#: 170003 / SEC#: 801-133721

RIA

Registered Investment Advisory firm - (6/24/2025 Approved)

Ohio

Registered Investment Advisory firm - (7/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/2/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/26/1975

Registered Representative Examination

Current Firm

VISION FINANCIAL MANAGEMENT, LLC

CRD#: 170003 / SEC#: 801-133721

RIA

Registered Investment Advisory firm - (6/24/2025 Approved)

Ohio

Registered Investment Advisory firm - (7/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/2/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

122 Broad Blvd., Cuyahoga Falls, OH 44221

Mailing Address

Phone number

(330) 929-9900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1: WRAP FEE PROGRAM BROCHURE (7/28/2025)

FORM ADV PART 2A: FIRM BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	547
AUM (Assets Under Management)	$ 119,950,797

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John E. Brindus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LOCUST STREET SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

VISION FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/26/1975

Current Firm

VISION FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISION FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors