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JW

John P. White

MOORGATE SECURITIES LLC
San Francisco, CA 94123
Some features on this profile are disabled
CRD#: 1848248
JW

Professional summary

John Peter White is a registered financial professional currently at MOORGATE SECURITIES LLC located in San Francisco, California.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view John Peter White's CRS (Customer Relationship Summary).

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

Current

April 14, 2010 - Present

MOORGATE SECURITIES LLC

Office #1: 1686 Union Street Suite 307, San Francisco, CA 94123
BD
CRD#: 151734
San Francisco, CA
Past

October 21, 2009 - April 13, 2010

WALLER CAPITAL SECURITIES LLC

BD
CRD#: 127734
NEW YORK, NY
Past

March 20, 2006 - May 13, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

May 21, 2001 - April 8, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/12/2010)
RR
New York
(4/27/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MOORGATE SECURITIES LLC
MOORGATE SECURITIES LLC

CRD#: 151734 / SEC#: , 8-68393

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1686 Union Street # 307, San Francisco, CA 94123
Mailing Address
1686 Union Street # 307, San Francisco, CA 94123
Phone number
(415) 678-5115
Established
Delaware since 04/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MOORGATE CAPITAL PARTNERS LLCOWNER
ALEXANDER, MICHAEL PHILIPMEMBER4277155
KIRSCHENBLATT, CHAD ETHANFINOP/CFO2503352
WHITE, JOHN PETERMEMBER, CCO1848248

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

MOORGATE SECURITIES LLC

CRD#: 151734San Francisco, CA 94123

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