John E. Houlihan
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 E Houlihan, who also goes by John Edward Houlihan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2019 - September 1, 2021
VINING-SPARKS IBG, LLC
June 26, 2017 - June 21, 2018
FIRST EMPIRE SECURITIES, INC.
February 25, 2016 - June 2, 2017
LOOP CAPITAL MARKETS LLC
November 20, 2014 - February 17, 2016
B. RILEY WEALTH MANAGEMENT
July 28, 2008 - November 17, 2014
OPPENHEIMER & CO. INC.
June 21, 1999 - June 26, 2008
J.P. MORGAN SECURITIES LLC
November 23, 1988 - July 27, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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