John R. Mccormick
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 Robert Mccormick was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 7 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
November 27, 2014 - July 25, 2022
REGULUS FINANCIAL GROUP, LLC
April 30, 2010 - November 25, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 27, 2007 - May 3, 2010
OSAIC SERVICES, INC.
November 24, 2000 - August 28, 2007
WOODBURY FINANCIAL SERVICES, INC.
November 29, 1991 - November 10, 2000
VOYA FINANCIAL ADVISORS, INC.
October 24, 1991 - November 26, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 24, 1991 - November 26, 1991
PRUCO SECURITIES, LLC.
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
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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