John J. Ahn
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 Jongdoo Ahn was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, 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
November 30, 2017 - May 7, 2020
B. RILEY SECURITIES, INC.
September 30, 2015 - May 7, 2020
B. RILEY CAPITAL MANAGEMENT
May 9, 2006 - March 2, 2015
RILEY INVESTMENT MANAGEMENT
May 7, 2004 - December 31, 2005
ISA CAPITAL MANAGEMENT, LLC
January 23, 2004 - November 30, 2017
B. RILEY & CO., LLC
March 25, 2003 - January 20, 2004
BGC FINANCIAL, L.P.
September 8, 1999 - May 30, 2003
STANDARD CAPITAL GROUP, INC.
May 5, 1993 - April 26, 1995
DABNEY/RESNICK/IMPERIAL, LLC
April 18, 1989 - August 22, 1989
BANCAMERICA SECURITIES, 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
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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