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JK

John R Kellogg

CRD# 829435·Registered 1976 - 2012
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John R Kellogg, who also goes by John R Kellog, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1976 - 2012. John had worked at 2 firms and has passed the Series 63, Series 1 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John R Kellog

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

50 years in the financial services industry

Current & Past Employments

OGILVIE SECURITY ADVISORS CORPORATION·CRD# 10105
BD
Chicago, IL
August 5, 2010 - October 24, 2012
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
February 17, 2006 - May 24, 2010
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Albany, NY
June 17, 1994 - February 1, 2006
HIMCO DISTRIBUTION SERVICES COMPANY·CRD# 6604
BD
Hartford, CT
November 4, 1976 - June 17, 1994

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Current Firm

OS
OGILVIE SECURITY ADVISORS CORPORATION

OGILVIE & TAYLOR SECURITIES CORPORATION | OGILVIE SECURITY ADVISORS CORPORATION | OGILVIE SECURITY ADVISORS CORP

CRD#: 10105 / SEC#: 801-44573, 8-26505
BD
Terminated by SEC on 02/14/2013

Contact Information

Established

Illinois since 07/06/1981

Firm Type

Corporation

Fiscal Year End

June

Documents

Latest Form ADV

Part 2 Brochures

OGILVIE SECURITY ADVISORS CORPORATION ADV PART 2 (8/28/2012)

Direct owners and executive officers

NamePositionCRD#
OGILVIE, DONALD RICHARDVICE PRESIDENT702152
HOAG, DEBRA ANNPRESIDENT/OWNER & CHIEF COMPLIANCE OFFICER1203880
ELLIS, WILLIAM KEVINFINANCIAL OPERATIONS PRINCIPAL1318373

Disclosures

Regulatory Event

3

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1999About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Oct 1976

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Nov 1986About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JK
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