John C. Floyd
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 Clark Floyd, who also goes by John C Floyd Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1961. John had worked at 3 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1996 - December 31, 2012
FLOYD CAPITAL MANAGEMENT, LLC
September 26, 1978 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 1961 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 9/9/1988
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 1/12/1961
Registered Representative ExaminationSeries 8
Date: 6/20/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FLOYD CAPITAL MANAGEMENT, LLC
CRD#: 142093 / SEC#: 801-68336
Contact information
Red Flags
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