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JI

John M. Ivan

TRANSACT CAPITAL SECURITIES
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 1292150
JI

Professional summary

John Michael Ivan is a registered financial professional currently at TRANSACT CAPITAL SECURITIES, LLC located in Glen Allen, Virginia and EDGEMONT CAPITAL PARTNERS, L.P. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 10 firms and has passed the Series 66, Series 65, SIE, Series 14, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Michael Ivan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 23, 2024 - Present

TRANSACT CAPITAL SECURITIES, LLC

Office #1: 4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
BD
CRD#: 133822
Glen Allen, VA
Current

January 30, 2024 - Present

EDGEMONT CAPITAL PARTNERS, L.P.

Office #1: 787 7th Avenue 49th Floor, New York, NY, 10019Office #2: 787 7th Avenue 49th Floor, New York, NY, 10019
BD
CRD#: 122572
New York, NY
Current

July 9, 2025 - Present

HIGGINBOTHAM SECURITIES

Office #1: 4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
BD
CRD#: 335402
HOUSTON, TX
Past

June 14, 2023 - December 4, 2023

OCEAN TOMO INVESTMENT GROUP, LLC

BD
CRD#: 172912
NEW YORK, NY
Past

January 27, 2016 - January 18, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

January 26, 2016 - January 18, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

January 2, 2013 - October 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

December 18, 2012 - October 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 8, 2006 - September 4, 2012

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PHILADELPHIA, PA
Past

April 12, 2005 - September 4, 2012

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 30, 2000 - April 11, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 1, 1999 - April 17, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 18, 1985 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/7/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/30/1990
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 7/11/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/12/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/1/1992
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

HS
HIGGINBOTHAM SECURITIES
HIGGINBOTHAM SECURITIES | HIGGINBOTHAM SECURITIES LLC

CRD#: 335402 / SEC#: , 8-71338

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
Mailing Address
4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
Phone number
(713) 952-9990
Established
Texas since 01/21/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HIGGINBOTHAM INSURANCE AGENCYOWNER
BARHORST, WARREN EDWARDMANAGER2570446
IVAN, JOHN MICHAELCHIEF COMPLIANCE OFFICER1292150
RIP, OLGAFINOP5440553

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.

Company Information

HIGGINBOTHAM SECURITIES

CRD#: 335402Glen Allen, VA 23060

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