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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

John Faircloth

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

TAMPA, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 19, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 19, 1998
First registration: Jul 26, 2004
Dual registered: yes, broker-dealer
Other names: JOEL PATRICK FAIRCLOTH|JOEL PATRICK FAIRCLOTH|Joel Faircloth|John Patrick Faircloth|John Faircloth
IAPD individual key: 3087864

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	May 9, 2022	n/a	yes	TAMPA, FL	Current employment
ASPEN WEALTH STRATEGIES, LLC	Independent wealth	Jan 11, 2021	Apr 16, 2021	no	ARVADA, CO	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jun 3, 2016	Jan 26, 2021	no	ARVADA, CO\|ARVADA, CO\|ARVADA, CO\|BOULDER, CO	Previous registration
COLDSTREAM WEALTH MANAGEMENT	Independent wealth	Feb 4, 2016	May 3, 2016	no	Seattle, WA\|BELLEVUE, WA	Previous registration
GEORGE R. PIERCE & ASSOCIATES, LLC	n/a	Feb 11, 2014	Aug 8, 2016	no	SEATTLE, WA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 1, 2013	Feb 9, 2016	no	SEATTLE, WA	Previous registration
MCGEE WEALTH MANAGEMENT, INC.	Former SEC adviser	Apr 10, 2012	Feb 12, 2014	no	PORTLAND, OR	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 28, 2010	Dec 5, 2011	no	PENNINGTON, NJ	Previous registration
LINCOLN INVESTMENT	Independent wealth	Sep 29, 2009	Sep 27, 2010	no	Horsham, PA	Previous registration
MERRILL LYNCH INVESTMENT MANAGERS LP	n/a	Jul 26, 2004	Nov 23, 2004	no	PENNINGTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ASPEN WEALTH STRATEGIES, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Apr 16, 2021	May 9, 2022	388	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	ASPEN WEALTH STRATEGIES, LLC	Jan 26, 2021	Jan 11, 2021	-15	Firm change	Ibd to new firm
GEORGE R. PIERCE & ASSOCIATES, LLC	COLDSTREAM WEALTH MANAGEMENT	Aug 8, 2016	Feb 4, 2016	-186	Firm change after gap	Other
COLDSTREAM WEALTH MANAGEMENT	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 3, 2016	Jun 3, 2016	31	Firm change	Other
LPL FINANCIAL LLC	GEORGE R. PIERCE & ASSOCIATES, LLC	Feb 9, 2016	Feb 11, 2014	-728	Firm change after gap	Other
MCGEE WEALTH MANAGEMENT, INC.	LPL FINANCIAL LLC	Feb 12, 2014	Oct 1, 2013	-134	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MCGEE WEALTH MANAGEMENT, INC.	Dec 5, 2011	Apr 10, 2012	127	Firm change	Other
LINCOLN INVESTMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 27, 2010	Sep 28, 2010	1	Firm change	Other
MERRILL LYNCH INVESTMENT MANAGERS LP	LINCOLN INVESTMENT	Nov 23, 2004	Sep 29, 2009	1,771	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111515:108805:WA:2016-08-08	Aug 8, 2016	Feb 4, 2016	SEATTLE, WA	Firm change after gap

Relationships

Registered with (10)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
May 9, 2022 to presentfactForm ADV
→ ASPEN WEALTH STRATEGIES, LLCRegistered adviserregistration: previous registration
Jan 11, 2021 to Apr 16, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jun 3, 2016 to Jan 26, 2021factForm ADV
→ GEORGE R. PIERCE & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Feb 11, 2014 to Aug 8, 2016factForm ADV
→ COLDSTREAM WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 4, 2016 to May 3, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 1, 2013 to Feb 9, 2016factForm ADV
→ MCGEE WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 10, 2012 to Feb 12, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 28, 2010 to Dec 5, 2011factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Sep 29, 2009 to Sep 27, 2010factForm ADV
→ MERRILL LYNCH INVESTMENT MANAGERS LPRegistered adviserregistration: previous registration
Jul 26, 2004 to Nov 23, 2004factForm ADV

Dated events

No dated event names this entity yet.