John H. Goings
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 Herbert Rudolph Goings SR., who also goes by John Herbert Rudolph Goings, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2003 - March 28, 2014
ICBA SECURITIES
August 27, 1997 - May 20, 2022
VINING-SPARKS IBG, LLC
January 20, 1992 - September 20, 1997
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 18, 1989 - March 14, 1991
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
August 31, 1989 - December 19, 1989
WACHOVIA SECURITIES, INC.
April 24, 1989 - August 29, 1989
MUNICIPAL SECURITIES, INCORPORATED
November 11, 1987 - April 28, 1989
VINING-SPARKS SECURITIES, INC.
March 3, 1986 - June 4, 1987
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
April 27, 1984 - August 20, 1985
CREWS & ASSOCIATES, INC.
March 2, 1983 - April 23, 1984
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
Red Flags
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