Cedar park, TX
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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →John works with several firms, including Red Oak Compliance, Brokers International Financial Services, MassMutual, MML Investor Services, and Bridge Street Securities, primarily in advertising review and compliance roles. These activities collectively take up a significant portion of John's time, with each role consuming about a quarter of his time and Red Oak Compliance consuming nearly full-time hours.