John N. Grooms
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 Norman Grooms was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2003 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
February 9, 2002 - December 31, 2002
PARKLAND SECURITIES, LLC
April 10, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
June 1, 1996 - April 5, 2000
WALNUT STREET SECURITIES, INC.
June 15, 1992 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 26, 1991 - May 20, 1992
PFS 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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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