John P. Palen
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 Peter Palen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 2 firms and has passed the Series 63, SIE, 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
August 17, 1994 - January 15, 2018
GREAT PACIFIC SECURITIES
June 23, 1987 - July 25, 1994
LIBERTY CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GREAT PACIFIC SECURITIES
CRD#: 29251 / SEC#: , 8-44398
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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