Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Edward Forness is a financial advisor associated with Principal Securities, Inc. John has been a registered representative since May 12, 1995, and has worked at a variety of financial firms over the years. John is a licensed investment advisor representative (IAR) in North Carolina and Texas. John is a dedicated financial professional who works with individuals, corporations, and charitable organizations to help them reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
06/28/2024 - Present
Principal Securities, Inc. (Charlotte NC)
NC
01/31/2020 - 05/03/2024
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
10/02/2015 - 09/17/2019
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
11/06/2013 - 09/28/2015
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
11/27/2008 - 11/08/2013
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
01/03/2006 - 02/21/2006
E*TRADE SECURITIES LLC (CHARLOTTE NC)
NJ
09/21/2000 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
MA
10/06/1998 - 08/10/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
06/20/1997 - 10/16/1998
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
MN
05/12/1995 - 07/21/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
05/12/1995 - 02/04/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 06/28/2024
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/08/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/23/2014
Series 24 - General Securities Principal Examination
BC
Issued 05/19/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/08/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 11/26/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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