John G. Keating
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 G Keating, who also goes by John G Keating Jr, John George Keating Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2019 - January 19, 2024
GMS GROUP
January 26, 2016 - December 31, 2017
MATCH-POINT SECURITIES, LLC
May 12, 2014 - October 9, 2015
SEVEN POINTS CAPITAL, LLC
October 17, 2011 - July 12, 2012
VALIC FINANCIAL ADVISORS, INC.
October 17, 2011 - July 12, 2012
VALIC FINANCIAL ADVISORS, INC.
January 5, 2010 - October 18, 2011
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - October 18, 2011
DELAWARE DISTRIBUTORS, L.P.
December 19, 2005 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 31, 2000 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 22, 1997 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
November 26, 1993 - July 15, 1997
DRIZOS INVESTMENTS, INC.
August 30, 1991 - March 4, 1993
BARRE & COMPANY, INCORPORATED
Primary Firm SEC Registration
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
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
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
