John D. Black
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 David Black was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 7 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2006 - October 1, 2015
WESTEND ADVISORS, LLC
June 25, 2003 - October 29, 2004
POWELLJOHNSON
December 20, 2002 - October 29, 2004
POWELLJOHNSON
August 14, 2000 - May 14, 2002
UBS FINANCIAL SERVICES INC.
February 23, 1998 - August 14, 2000
J.C. BRADFORD & CO.
August 24, 1989 - June 5, 1990
WACHOVIA SECURITIES, INC.
October 9, 1986 - September 1, 1989
FIRST UNION CAPITAL MARKETS CORP.
October 9, 1986 - August 3, 1999
FIRST UNION CAPITAL MARKETS CORP.
November 1, 1979 - October 22, 1986
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
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 8
Date: 12/11/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,002 |
| AUM (Assets Under Management) | $ 1,699,961,169 |
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.
