JF
JF
John Forbes is a registered investment advisor, based in Escondido, CA, with 46 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Escondido, CA
Get directionsHistory
Regulatory History (3)
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Customer Dispute
August 2009Closed-No Action
Customer Dispute
August 1993Settled
Customer Dispute
May 1985Award / Judgment
Other Business ActivitiesSells Insurance
John is involved with insurance and is also a photography editor for the Dalmation Club.
Employment History
Current Registrations
Lasalle St. Investment Advisors, L.L.C.
February 2014 - Present · 12 yrs 8 mos
Lasalle St Securities, L.L.C.Broker
February 2014 - Present · 12 yrs 8 mos
Previous Registrations
Securities America Advisors, INC.
September 2012 - January 2014 · 1 yr 4 mos
Securities America, INC.Broker
September 2012 - January 2014 · 1 yr 4 mos
Financial West Group
November 2011 - September 2012 · 10 mos
Financial West GroupBroker
November 2011 - September 2012 · 10 mos
Torrey Pines Securities, INC.
June 2007 - November 2011 · 4 yrs 5 mos
Torrey Pines Securities, INC.Broker
June 2003 - November 2011 · 8 yrs 5 mos
RBC Dain Rauscher INC.
May 2002 - June 2003 · 1 yr 1 mo
RBC Dain Rauscher INC.Broker
March 2002 - June 2003 · 1 yr 3 mos
Sutro & CO. IncorporatedBroker
September 1998 - March 2002 · 3 yrs 6 mos
Painewebber IncorporatedBroker
March 1980 - September 1998 · 18 yrs 6 mos
State Registrations15 states
AZCACOCTDCFLMAMIMSNCNVNYTNVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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