John L. Small
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 Lee Small was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 28 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
February 24, 1992 - February 15, 2022
SOUTHEASTERN ADVISORY SERVICES INC
August 31, 1990 - March 2, 2012
SOUTHEASTERN ADVISORY GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 11/30/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SOUTHEASTERN ADVISORY SERVICES INC
CRD#: 109817 / SEC#: 801-31661
Contact information
Red Flags
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