John U. Palmquist
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 Uno Palmquist was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 12 firms and has passed the SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2001 - February 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
July 21, 2000 - January 1, 2001
MJK CLEARING, INC.
April 21, 1998 - March 12, 2015
R.W. SMITH & ASSOCIATES, LLC
November 12, 1992 - October 9, 1996
R.W. SMITH & ASSOCIATES, LLC
July 11, 1990 - October 13, 1992
PRINCIPAL SECURITIES, INC.
March 26, 1990 - April 24, 1990
TITUS & DONNELLY LLC
March 8, 1990 - March 26, 1990
G.I.M.B. MUNICIPAL SECURITIES BROKER
May 31, 1989 - November 14, 1989
HARTFIELD, TITUS & DONNELLY, LLC
August 27, 1985 - April 14, 1989
CLIFFORD DRAKE & COMPANY INC.
June 19, 1982 - August 26, 1985
J.J. KENNY DRAKE, INC.
September 12, 1981 - July 23, 1982
PERSHING LLC
September 26, 1978 - September 18, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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