John W. Cutshall
Professional summary
John William Cutshall was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1979. Prior to being barred, John had worked at 5 firms, which includes LOMBARD SECURITIES INCORPORATED, MORGAN STANLEY, RBC CAPITAL MARKETS LLC, FERRIS BAKER WATTS LLC, BAKER WATTS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2014 - April 11, 2019
LOMBARD SECURITIES INCORPORATED
June 14, 2013 - June 17, 2014
MORGAN STANLEY
June 14, 2013 - June 17, 2014
MORGAN STANLEY
March 13, 2009 - June 25, 2013
RBC CAPITAL MARKETS, LLC
March 13, 2009 - June 25, 2013
RBC CAPITAL MARKETS, LLC
January 21, 1992 - March 13, 2009
FERRIS, BAKER WATTS, LLC
October 24, 1988 - March 13, 2009
FERRIS, BAKER WATTS, LLC
November 26, 1979 - October 24, 1988
BAKER, WATTS & CO., 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
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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