John A. Gillette
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 Albert Gillette was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 63, Series 55, 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
May 6, 2005 - February 22, 2012
FM PARTNERS HOLDINGS LLC
September 15, 1992 - May 10, 2005
LAZARD FRERES & CO. LLC
December 5, 1990 - August 27, 1992
OPPENHEIMER & CO. INC.
April 2, 1987 - April 7, 1987
BA INVESTMENT SERVICES, INC.
April 2, 1987 - December 15, 1990
NEW YORK & FOREIGN SECURITIES CORPORATION
March 24, 1986 - December 4, 1986
EDELMAN SECURITIES COMPANY, L.P.
August 21, 1984 - December 1, 1986
PLAZA SECURITIES COMPANY
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 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
FM PARTNERS HOLDINGS LLC
CRD#: 134736 / SEC#: , 8-66861
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMDC HOLDINGS LLC | MANAGING MEMBER | |
| ROSENBERG, WILLIAM BRUCE | CEO, CFO, COO, CCO | 1722850 |
Disclosures
| Regulatory Event | 15 |
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.
