John K. O'donnell
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 Keithly O'donnell, who also goes by John K O'donnell, John O'donnell, John Keithly Odonnell, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
January 17, 2012 - December 31, 2022
SPC
January 17, 2012 - December 31, 2022
SIGMA FINANCIAL CORPORATION
April 24, 2007 - January 18, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 24, 2007 - January 18, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 5, 2003 - April 24, 2007
RYAN BECK & CO.
May 5, 2003 - April 24, 2007
RYAN BECK & CO.
March 11, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - May 16, 2003
RBC CAPITAL MARKETS, LLC
February 23, 1993 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 4, 1990 - February 18, 1993
WELLS FARGO CLEARING SERVICES, LLC
November 3, 1986 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 28, 1982 - November 11, 1986
MORGAN STANLEY DW INC.
September 26, 1978 - May 24, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
