John B. Gaither
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 Braxton Gaither, who also goes by Gaither Braxton Gaither, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
March 29, 2017 - November 18, 2019
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 2, 2016 - March 15, 2017
REGULUS FINANCIAL GROUP, LLC
February 20, 2003 - December 24, 2019
GIBSON GAITHER WEALTH MANAGEMENT ADVISORS
November 12, 2001 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
September 22, 2000 - October 18, 2001
SECURITIES SERVICE NETWORK, LLC
July 10, 1997 - September 14, 2000
FSC SECURITIES CORPORATION
January 20, 1993 - July 28, 1997
COMPULIFE INVESTOR SERVICES, INC.
July 26, 1991 - February 2, 1993
AVANTAX INVESTMENT SERVICES, INC.
September 18, 1990 - July 26, 1991
PLANNED INVESTMENTS 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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
