John C. Reap
Professional summary
John Casey Reap was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, John had worked at 7 firms, which includes RHODES SECURITIES INC., PROSPERA FINANCIAL SERVICES INC., SIGNAL SECURITIES INC., AVANTAX INVESTMENT SERVICES INC., FIDELITY BROKERAGE SERVICES LLC, FIDELITY DISTRIBUTORS CORPORATION, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2018 - August 30, 2024
RHODES SECURITIES, INC.
April 10, 1997 - August 1, 2018
PROSPERA FINANCIAL SERVICES, INC.
April 28, 1994 - April 1, 1997
SIGNAL SECURITIES, INC.
December 12, 1991 - April 26, 1994
AVANTAX INVESTMENT SERVICES, INC.
December 8, 1986 - February 8, 1991
FIDELITY BROKERAGE SERVICES LLC
April 28, 1986 - July 17, 1986
FIDELITY DISTRIBUTORS CORPORATION
July 24, 1985 - November 1, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/18/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 8/19/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RHODES SECURITIES, INC.
CRD#: 19610 / SEC#: , 8-37689
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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