John R. Runningen
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 Raymond Runningen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 10 firms and has passed the Series 63, Series 62, Series 79TO, Series 99TO, SIE, Series 7, Series 39, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2013 - February 22, 2022
COMMENDA SECURITIES, LLC
February 18, 2010 - January 3, 2011
BRIDGE CAPITAL ASSOCIATES, INC.
November 6, 2006 - February 4, 2009
WM. H. MURPHY & CO., INC.
October 30, 2003 - November 15, 2004
REVELSTONE SECURITIES, LLC
September 10, 1997 - December 31, 2001
FIRST VANTAGE INVESTMENTS LLC
March 16, 1991 - July 7, 1997
THE ROBINSON-HUMPHREY COMPANY, LLC
October 4, 1988 - January 16, 1991
MORGAN KEEGAN & COMPANY, LLC
May 25, 1982 - May 2, 1988
QUALICORP FINANCIAL, INC.
November 10, 1978 - February 25, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1977 - November 16, 1978
THOMSON MCKINNON SECURITIES 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 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
COMMENDA SECURITIES, LLC
CRD#: 164664 / SEC#: , 8-69111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMENDA INC. | MEMBER FIRM | |
| SHEEHAN, TIMOTHY JAMES | MANAGING DIRECTOR AND PRINCIPAL, CEO, CCO | 2546510 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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