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JW

John G. Whitaker

QUASAR DISTRIBUTORS
Portland, ME 04101
Some features on this profile are disabled
CRD#: 2132361
JW

Professional summary

John Gregory Whitaker, who also goes by John G Whitaker, Greg Whitaker, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John G Whitaker | Greg Whitaker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Gregory Whitaker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 13, 2022 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 103848
Portland, ME
Past

December 23, 2015 - May 5, 2022

THORNBURG INVESTMENT MANAGEMENT INC

RIA
CRD#: 106357
Roswell, GA
Past

December 16, 2015 - May 5, 2022

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

September 4, 2015 - December 4, 2015

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

March 3, 2006 - March 7, 2014

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - March 7, 2014

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

August 10, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 24, 1996 - April 19, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

August 23, 1995 - July 25, 1996

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

January 4, 1994 - July 5, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 15, 1991 - January 6, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/13/2022)
RR
Delaware
(7/13/2022)
RR
District of Columbia
(7/13/2022)
RR
Georgia
(7/13/2022)
RR
Illinois
(7/13/2022)
RR
Kentucky
(7/13/2022)
RR
Maryland
(7/13/2022)
RR
Mississippi
(7/13/2022)
RR
North Carolina
(7/13/2022)
RR
South Carolina
(7/13/2022)
RR
Tennessee
(7/13/2022)
RR
Virginia
(7/13/2022)
RR
West Virginia
(7/13/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/21/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC

CRD#: 103848 / SEC#: , 8-52323

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

QUASAR DISTRIBUTORS, LLC

CRD#: 103848Portland, ME 04101

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