John H. Sage
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 Hamilton Sage was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2014 - November 6, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 2014 - July 1, 2014
SWBC INVESTMENT SERVICES, LLC
January 4, 2010 - June 30, 2014
SWBC INVESTMENT SERVICES, LLC
June 1, 2006 - December 3, 2009
MOMENTUM INDEPENDENT NETWORK INC.
October 10, 2005 - May 2, 2006
CITICORP INVESTMENT SERVICES
June 23, 2004 - September 12, 2005
WELLS FARGO INVESTMENTS, LLC
June 16, 2003 - May 18, 2004
MOMENTUM INDEPENDENT NETWORK INC.
October 16, 2002 - July 2, 2003
CETERA WEALTH SERVICES, LLC
April 30, 1997 - October 18, 2002
INVESTACORP, INC.
November 1, 1995 - May 12, 1997
CETERA WEALTH SERVICES, LLC
June 2, 1994 - November 1, 1995
SWBC INVESTMENT COMPANY
March 11, 1991 - May 27, 1994
WALNUT STREET SECURITIES, INC.
August 14, 1990 - March 14, 1991
WORLD INVEST CORPORATION
January 18, 1989 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
August 20, 1987 - December 15, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
