John E. Cathcart
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 Everett Cathcart was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 63, 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
January 21, 1993 - September 16, 1994
REGENCY CAPITAL GROUP, INC.
September 6, 1991 - October 27, 1992
FRANKLIN-LORD, INC.
November 29, 1990 - August 29, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
August 20, 1987 - November 23, 1990
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
Current Firm
REGENCY CAPITAL GROUP, INC.
CRD#: 30764 / SEC#: , 8-45181
Contact information
Documents
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.
