John E. Trusheim
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 Edgar Trusheim JR, who also goes by John Edgar Trusheim, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 17 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2005 - September 29, 2006
NEW ENGLAND SECURITIES
December 4, 2001 - July 18, 2005
VFINANCE INVESTMENTS, INC
July 19, 2001 - October 3, 2001
FIRST COLONIAL SECURITIES
December 8, 1997 - August 11, 2000
FIRST COLONIAL SECURITIES
April 7, 1997 - October 31, 1997
MEYERS POLLOCK ROBBINS, INC.
February 26, 1990 - February 21, 1997
DICKINSON & CO.
August 10, 1989 - February 24, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
June 13, 1989 - August 28, 1989
RAYMOND JAMES & ASSOCIATES, INC.
January 18, 1989 - April 24, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 3, 1988 - February 24, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
March 23, 1987 - October 3, 1988
UMIC, INC.
March 5, 1982 - March 5, 1987
E. F. HUTTON & COMPANY INC
August 5, 1981 - February 17, 1982
LEHMAN BROTHERS INC.
March 24, 1980 - September 23, 1983
SCHNEIDER, BERNET & HICKMAN, INC.
September 26, 1978 - July 14, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
February 13, 1978 - June 22, 1978
UNDERWOOD, NEUHAUS & CO., INCORPORATED
September 16, 1977 - March 27, 1978
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
June 18, 1976 - July 19, 1976
BRITTENUM & ASSOCIATES, 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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
