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John Exner Fined $15,000 By Florida

John Exner (CRD #: 4706319), a broker registered with LPL Financial, is the subject of a Cease-and-Desist Order in Florida. This is according to his BrokerCheck record, accessed on August 2, 2021.

On July 20, 2021, the Florida Office of Financial Regulation alleged that John Exner rendered investment advice from a Florida location without first registering in Florida. Exner has consented to a fine of $15,000.

John Exner Background Information

Exner has passed the following exams

  • Series 66 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

He is a registered broker in 12 states and a registered investment adviser in Florida, Texas, and Virginia.

Exner has registered with the following firms:

  • LPL Financial (CRD #: 6413)
  • Integrated Wealth Concepts (CRD #: 284656)
  • DaVinci Financial Designs (CRD #: 163362)
  • First Command Advisory (CRD #: 281958)
  • First Command Financial Planning (CRD #: 3641)
  • First Command Bank (CRD #: 128851)

Kurta Law Can Help

If you worked with John Exner and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.

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