John Holmes Wellington

Current Employers

Employment History

• 04/2014 → 02/2017
  Broadridge Business Process Outsourcing, Llc.
  New York, NY
• 03/2019 → 01/2021
  Ameriprise Financial Services, Inc
  Oxford, CT
• 03/2017 → 12/2018
  Quovo, Inc.
  New York, NY
• 02/2021 → Present
  Ameriprise Financial Services, Llc
  Hauppauge, NY

Previous Registrations

• 2019-07-26 → 2021-01-14
  Ameriprise Financial Services, Llc
  Oxford, CT
  Palo Alto, CA
  Palo Alto, CA
  Harrison, NY
• 2003-05-08 → 2006-05-31
  Advest, Inc.
  Hartford, CT
  Hartford, CT

Other Businesses

Business Ownership; Wellington Lodge LLC; Managing Member; Real Estate Ownership; 9 Club Ct, , Pleasantville, NY, 10570; Not Investment-Related; 12/31/2004; 1 to 9 hours per month; 0 during trading hours / 25125, Inc; Treasurer; Aircraft Ownership; 9 Club Ct, , Pleasantville, NY, 10570; Not Investment-Related; 08/15/2007; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Westchester Aviation Association; Board Member; P.O. Box 447, , Purchase, NY, 10577-0447; Not Investment-Related; 06/01/2014; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Certainty of Uncertainty, LLC; Employee of the legal entity; Compensation received from an advisor owned entity established to manage the practice; 1174 Veterans Memorial Hwy, , Hauppauge, NY, 11788; Investment-Related; 01/01/2022; 60 hours per month; 60 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2019-07-18
• S65 Uniform Investment Adviser Law Examination
  1992-04-09
• S63 Uniform Securities Agent State Law Examination
  1984-12-18

Other Names

• John Holmes Wellington
• John Holmes Wellington
• John Wellington
• John H Wellington
• John Holmes Wellington