John FarmerCRD Number: 3069582
Current Firm: Citizens Securities, Inc.
John Farmer (CRD# 3069582) is an Investment Advisor Representative working at Citizens Securities, Inc. in Coventry, RI and has 1 year of experience in the finance industry. John Farmer has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Spinnaker Asset Management Inc.
Lansdowne Wealth Management, LLC
Balanced Wealth Management, LLC
|Cco Investment Services Corp||Providence, RI||Nov 2008 - Current||9|
|Sovereign Bank||Wickford, RI||Oct 2005 - Oct 2008||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2017|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management3,586MILLIONS
Total Number of Accounts26,251ACCOUNTS
Average Account Value$136,605
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV