John F. Waight
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 Franklin Waight 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 SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - December 31, 2014
LINCOLN INVESTMENT
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 19, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
May 14, 1990 - May 16, 2000
LINCOLN INVESTMENT
July 8, 1987 - May 21, 1990
GLOBAL CAPITAL SECURITIES, INC.
October 3, 1983 - July 18, 1987
LEGEND CAPITAL CORPORATION
July 20, 1983 - October 14, 1983
NATHAN & LEWIS SECURITIES, INC.
February 4, 1982 - June 13, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 4, 1980 - February 26, 1985
FIRST EASTERN EQUITY CORP.
September 19, 1979 - May 30, 1980
MOHAWK CAPITAL CORPORATION
November 1, 1977 - August 18, 1979
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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 1
Date: 10/21/1977
Registered Representative ExaminationCurrent Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
