John P. Sousa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Philip Sousa IV was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 6 firms and has passed the SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - December 31, 2020
THE LEADERS GROUP, INC.
September 1, 2017 - January 28, 2020
BLUEROCK CAPITAL MARKETS LLC
October 5, 1994 - April 8, 1997
AFS BROKERAGE, INC.
August 1, 1991 - August 10, 1992
IFMG SECURITIES, INC.
March 18, 1983 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
February 3, 1982 - January 25, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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