John E. Adams
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 Edward Adams was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 12 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2008 - January 4, 2010
OAK HILLS SECURITIES, INC.
February 28, 2002 - May 1, 2008
GEARY SECURITIES, INC.
February 4, 1998 - December 31, 1999
LASALLE ST SECURITIES, L.L.C.
November 17, 1995 - October 22, 1997
GEARY SECURITIES, INC.
March 11, 1991 - June 6, 1992
EBCO RESOURCES, INC.
June 26, 1990 - September 7, 1995
BIRCHTREE FINANCIAL SERVICES LLC
May 1, 1989 - January 20, 1990
ANDERSON, BRYANT & CO.
December 24, 1985 - April 22, 1987
HOUCHIN, ADAMSON & CO., INC.
December 23, 1977 - July 22, 1985
ADAMS, JAMES, ABARR & COMPANY, INC.
May 23, 1975 - October 30, 1977
AFFILIATED BROKERS CORPORATION
December 1, 1971 - November 7, 1974
Y
September 15, 1971 - December 5, 1971
QUINN & CO., INC.
October 24, 1967 - November 7, 1971
PARKER, WELSH & HADDEN INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/17/1965
Registered Representative ExaminationF04
Date: 4/21/1975
Financial Principal ExaminationSeries 00
Date: 3/21/1975
General Securities Principal ExaminationCurrent Firm
OAK HILLS SECURITIES, INC.
CRD#: 145579 / SEC#: , 8-67740
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
