John M. Sealy
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 Michael Sealy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - February 2, 2023
CRESCENT ADVISOR GROUP, INC.
June 13, 2013 - February 2, 2023
CRESCENT SECURITIES GROUP, INC.
July 16, 2012 - January 28, 2013
INSTITUTIONAL SECURITIES CORPORATION
August 24, 2005 - July 12, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
June 21, 2004 - February 16, 2005
SOUTHWEST TEXAS CAPITAL, L.L.C
October 20, 2003 - April 29, 2004
J.P. TURNER & COMPANY, L.L.C.
April 17, 2000 - May 30, 2003
RIVERSTONE WEALTH MANAGEMENT, INC.
July 23, 1998 - March 15, 2000
ROCKCREST SECURITIES L.L.C.
December 8, 1995 - March 4, 1998
SUNAMERICA SECURITIES, INC.
March 4, 1994 - November 6, 1995
ADVANTAGE CAPITAL CORPORATION
October 29, 1993 - March 15, 1994
FIRST LONDON SECURITIES CORPORATION
April 30, 1993 - October 26, 1993
CITIGROUP GLOBAL MARKETS INC.
January 11, 1989 - April 23, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CRESCENT ADVISOR GROUP, INC.
CRD#: 115974 / SEC#: 801-127131
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 467 |
| AUM (Assets Under Management) | $ 282,987,504 |
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.
