John Q. Ables
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 Quinton Ables was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 5 firms and has passed the Series 65, Series 63, 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
June 11, 2003 - April 1, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
May 29, 2003 - December 31, 2020
ABLES, IANNONE, MOORE & ASSOCIATES, INC.
September 30, 2002 - June 11, 2003
MELHADO, FLYNN & ASSOCIATES, INC.
July 9, 1986 - June 11, 2003
MELHADO, FLYNN & ASSOCIATES, INC.
May 23, 1986 - June 16, 1986
MELHADO, FLYNN & ASSOCIATES, INC.
October 30, 1984 - June 2, 1986
WACHOVIA SECURITIES, INC.
September 21, 1984 - October 19, 1984
THE ROBINSON-HUMPHREY COMPANY, LLC
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
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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