John J. Gorman
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 Joseph Gorman IV, who also goes by John Joseph Gorman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 9 firms and has passed the Series 63, SIE, 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
September 3, 2015 - December 3, 2015
LPS CAPITAL LLC
February 20, 2015 - July 11, 2015
ODEON CAPITAL GROUP LLC
May 16, 1995 - August 26, 2013
TEJAS SECURITIES GROUP, INC.
July 20, 1988 - April 24, 1995
APS FINANCIAL CORPORATION
August 22, 1987 - December 24, 1987
DOVER GROUP, INC.
October 23, 1985 - July 21, 1987
LANDMARK INVESTMENTS, INC.
March 14, 1985 - July 5, 1985
LEHMAN BROTHERS INC.
December 1, 1983 - January 17, 1985
MORGAN STANLEY DW INC.
October 21, 1982 - December 28, 1983
INSTITUTIONAL EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
