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John D Carlquist

Pershing LLC

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About John D Carlquist

John D. Carlquist is a financial professional with over 15 years of experience in the financial services industry. John currently holds licenses in Colorado and Florida. He is registered with Pershing Advisor Solutions LLC and Pershing LLC. John has experience in various areas, including securities, investments, and financial planning. He is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

John Carlquist is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Carlquist’s Registration & Firm History

FL

05/04/2022 - Present

Pershing LLC (LAKE MARY FL)

CO

11/12/2007 - 10/18/2021

FIDELITY BROKERAGE SERVICES LLC (GREENWOOD VILLAGE CO)

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Licenses & Designations

BOTH

Issued 12/11/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/16/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/05/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/11/2010

Series 4 - Registered Options Principal Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/09/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for John D Carlquist.
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