John Thomas Browning

Current Employers

Guardian Rock Wealth Investment Management, Inc.

3333 Warrenville Road Suite 200, Lisle, IL 60532 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-09-22
NC	RA	APPROVED	2021-03-25
IL	RA	APPROVED	2019-05-10

FL RA
APPROVED

Since 2022-09-22
NC RA
APPROVED

Since 2021-03-25
IL RA
APPROVED

Since 2019-05-10

Branch Locations

Palm Springs, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Nuveen Investments	Chicago	IL	05/2016	07/2017
Hennion & Walsh	Parsippany	NJ	08/2017	11/2018
Marc J. Lane & Company	Chicago	IL	11/2018	05/2019
Guardian Rock Wealth Investment Management, Inc.	Lisle	IL	02/2019	Present
Marc J. Lane & Company	Chicago	IL	08/2019	04/2020

05/2016 → 07/2017

Nuveen Investments

Chicago, IL
08/2017 → 11/2018

Hennion & Walsh

Parsippany, NJ
11/2018 → 05/2019

Marc J. Lane & Company

Chicago, IL
02/2019 → Present

Guardian Rock Wealth Investment Management, Inc.

Lisle, IL
08/2019 → 04/2020

Marc J. Lane & Company

Chicago, IL

Previous Registrations

2010-01-01 → 2010-04-26

Invesco Advisers, Inc.

Atlanta, GA
2009-05-18 → 2010-01-01

Invesco Aim Private Asset Management, Inc.

Houston, TX
2005-06-09 → 2009-02-11

Van Kampen Advisors Inc

Oakbrook Terrace, IL

Other Businesses

Insurance Agent/investment-related/Palm Springs, FL/Independent insurance agent (life and health)/August 2023/approximately five hours per month including during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-05-10
S63	Uniform Securities Agent State Law Examination	1993-04-27

S65 Uniform Investment Adviser Law Examination

2019-05-10
S63 Uniform Securities Agent State Law Examination

1993-04-27

Other Names

John Thomas Browning
John T Browning

View on SEC IAPD