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JH

John T. Healy

Some features on this profile are disabled
CRD#: 1819286
JH

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 Thomas Healy, who also goes by John Thomas Healy Jr, 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 63, Series 66, Series 99TO, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Thomas Healy Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 20, 2022 - May 17, 2023

PLANET WEALTH SECURITIES, INC.

BD
CRD#: 119251
New York, NY
Past

February 28, 2017 - March 7, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

November 12, 2002 - March 7, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
NEW YORK, NY
Past

April 1, 1999 - May 10, 2001

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

March 3, 1989 - December 2, 1996

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

August 9, 1988 - March 13, 1989

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
Past

May 25, 1988 - June 24, 1988

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/22/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/13/2009
Registered Options Principal Examination

Current Firm

PW
PLANET WEALTH SECURITIES, INC.
PLANET WEALTH SECURITIES, INC. | SFG SECURITIES, INC.

CRD#: 119251 / SEC#: , 8-65163

BD
Terminated by SEC on 10/22/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/29/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PLANET WEALTH GLOBAL PARTNERS, INC.HOLDING COMPANY
KARABA, IRA SCOTTCHIEF COMPLIANCE OFFICER, CEO2744921

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.

Company Information

PLANET WEALTH SECURITIES, INC.

CRD#: 119251

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