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JR

John W. Risley

L.O. THOMAS & CO.
Linwood, NJ 08221
Some features on this profile are disabled
CRD#: 844622
JR

Professional summary

John Wesley Risley JR, who also goes by John W Risley Jr, is a registered financial professional currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1977. John has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 14, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John W Risley Jr

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Wesley Risley JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 3, 1989 - Present

L.O. THOMAS & CO. INC.

Office #1: 2106 New Road, Ste. A-6, Box 293, Linwood, NJ 08221Office #2: Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221
BD
CRD#: 23657
Linwood, NJ
Past

March 31, 1978 - January 3, 1989

L.O. THOMAS & CO.

BD
CRD#: 3576
Past

October 26, 1977 - April 10, 1978

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(11/22/2023)
RR
Florida
(1/3/1995)
RR
Georgia
(7/19/2011)
RR
Indiana
(3/6/2013)
RR
Maryland
(6/24/2019)
RR
New Jersey
(10/4/2000)
RR
Pennsylvania
(10/4/2000)
RR
Texas
(2/11/2015)
RR
Virginia
(11/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/2/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/31/1988
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/1980
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LT
L.O. THOMAS & CO. INC.
L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.

CRD#: 23657 / SEC#: , 8-40875

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221
Mailing Address
Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221
Phone number
(609) 927-4044
Established
New Jersey since 03/01/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RISLEY, JOHN WESLEY JRPRESIDENT, FINOP, CEO,CCO844622

Disclosures

Regulatory Event1

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.

Company Information

L.O. THOMAS & CO. INC.

CRD#: 23657Linwood, NJ 08221

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