John C. Braddock
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 Carter Braddock was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
August 7, 2012 - December 11, 2019
LAKERIDGE CAPITAL INC.
October 5, 2011 - May 22, 2012
PIN FINANCIAL, LLC
December 10, 2007 - May 9, 2011
PIN FINANCIAL, LLC
November 8, 2002 - May 25, 2006
MELHADO, FLYNN & ASSOCIATES, INC.
February 10, 1999 - November 15, 2002
CIBC WORLD MARKETS CORP.
May 6, 1996 - November 3, 1998
CIBC WORLD MARKETS CORP.
February 10, 1994 - March 11, 1996
UBS FINANCIAL SERVICES INC.
January 31, 1986 - May 11, 1987
TOWER SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LAKERIDGE CAPITAL INC.
CRD#: 25005 / SEC#: , 8-41532
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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