John P. Gorham
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 Patrick Gorham was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55 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
February 25, 2025 - March 27, 2025
CETERA INVESTMENT SERVICES LLC
February 25, 2025 - March 27, 2025
CETERA FINANCIAL SPECIALISTS LLC
February 25, 2025 - March 27, 2025
CETERA ADVISORS LLC
February 20, 2025 - March 27, 2025
CETERA WEALTH SERVICES, LLC
April 18, 2005 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 7, 2000 - May 9, 2005
STERNE, AGEE & LEACH, INC.
November 4, 1999 - July 10, 2000
SOUTHTRUST SECURITIES, LLC
May 5, 1999 - November 1, 1999
SCOTT & STRINGFELLOW, LLC
February 28, 1996 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
August 14, 1995 - February 10, 1996
TULLETT PREBON FINANCIAL SERVICES LLC
April 29, 1992 - August 16, 1995
STERNE, AGEE & LEACH, INC.
June 7, 1990 - April 27, 1992
HYM FINANCIAL, INC.
June 7, 1989 - May 25, 1990
HOWE, SOLOMON & HALL, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/19/2006
Limited Representative-Equity Trader ExamCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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