John H. Cates
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 Henry Cates was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 6 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2011 - September 6, 2012
CLARKESON RESEARCH INC.
March 21, 2002 - October 2, 2013
STONEX SECURITIES INC.
April 20, 2001 - April 11, 2002
AMERICAN INVESTMENT SERVICES, INC.
July 3, 2000 - February 6, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
April 26, 1995 - July 3, 2000
ASIEL & CO. LLC
July 31, 1987 - April 5, 1995
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
CLARKESON RESEARCH INC.
CRD#: 143868 / SEC#: , 8-67612
Contact information
Documents
Red Flags
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