John J. Fisher
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 Joseph Fisher was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2005 - February 21, 2008
S.G. MARTIN SECURITIES LLC
September 17, 2003 - July 2, 2004
DUPONT SECURITIES GROUP, INC.
January 11, 1993 - September 2, 2003
CASTLE SECURITIES CORP.
February 27, 1990 - October 24, 1991
KIRLIN SECURITIES INC.
March 24, 1987 - May 16, 1989
INDIVIDUAL'S SECURITIES LTD.
March 6, 1986 - September 3, 1992
CASTLE SECURITIES CORP.
January 2, 1985 - March 6, 1986
INDIVIDUAL'S SECURITIES LTD.
November 22, 1976 - February 6, 1985
SEABOARD SECURITIES, INC.
November 21, 1973 - December 1, 1976
TOWER SQUARE SECURITIES, INC.
April 19, 1972 - April 14, 1975
CONTEMPORARY SECURITIES CORP
March 14, 1972 - April 1, 1980
ALPHA SECURITIES
August 2, 1971 - May 20, 1974
M. BERNSTEIN SECURITIES, INC.
September 23, 1970 - September 12, 1971
HALE SECURITIES CORP.
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 1
Date: 3/29/1968
Registered Representative ExaminationCurrent Firm
S.G. MARTIN SECURITIES LLC
CRD#: 46908 / SEC#: , 8-51583
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
