John H. Rabon
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 Henry Rabon III, who also goes by John Henry Rabon, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1983. John had worked at 7 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2005 - November 16, 2005
SYNERGY INVESTMENT GROUP, LLC
July 26, 2005 - November 16, 2005
SYNERGY INVESTMENT GROUP, LLC
July 25, 2003 - July 19, 2005
AMERIPRISE ADVISOR SERVICES, INC.
April 25, 2003 - July 19, 2005
AMERIPRISE ADVISOR SERVICES, INC.
December 31, 2001 - April 15, 2003
MORGAN KEEGAN & COMPANY, LLC
January 4, 2000 - April 15, 2003
MORGAN KEEGAN & COMPANY, LLC
December 20, 1996 - January 18, 2000
WACHOVIA SECURITIES, INC.
October 7, 1992 - January 15, 1997
UBS FINANCIAL SERVICES INC.
May 25, 1988 - October 14, 1992
FIRST UNION CAPITAL MARKETS CORP.
March 12, 1986 - June 2, 1988
THE PINNACLE GROUP, INC.
December 20, 1984 - March 17, 1986
WACHOVIA SECURITIES, INC.
August 23, 1983 - December 19, 1984
UBS FINANCIAL SERVICES 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
Current Firm
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035 / SEC#: 801-68315, 8-51278
Contact information
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
