John S. Gaynoe
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 Sidney Gaynoe was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 000, 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
October 26, 2020 - February 7, 2023
LEBENTHAL GLOBAL ADVISORS, LLC
December 21, 2018 - February 4, 2020
AVENIR PRIVATE ADVISORS, LLC
June 19, 2017 - June 29, 2018
KOVACK SECURITIES INC.
March 1, 2011 - December 31, 2018
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
February 25, 2011 - June 23, 2017
CAPITAL GUARDIAN, LLC
June 1, 2009 - March 25, 2011
MORGAN STANLEY
June 1, 2009 - March 25, 2011
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 23, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 19, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 2, 1998 - April 2, 2004
UBS FINANCIAL SERVICES INC.
June 2, 1998 - April 2, 2004
UBS FINANCIAL SERVICES INC.
July 5, 1991 - May 22, 1998
CITIGROUP GLOBAL MARKETS INC.
December 17, 1987 - July 3, 1991
A. G. EDWARDS & SONS, INC.
July 8, 1986 - January 1, 1988
MORGAN STANLEY DW INC.
July 31, 1984 - July 10, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
March 2, 1978 - November 17, 1978
CITIGROUP GLOBAL MARKETS INC.
May 3, 1976 - January 14, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 8, 1974 - June 2, 1976
BACHE & CO INCORPORATED
December 10, 1973 - November 24, 1974
E. F. HUTTON & COMPANY INC
June 5, 1973 - November 19, 1973
KIDDER, PEABODY & CO., INCORPORATED
February 2, 1971 - July 7, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
February 1, 1971 - July 30, 1984
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LEBENTHAL GLOBAL ADVISORS, LLC
CRD#: 283303 / SEC#: 801-110652
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
Series 000
Date: 2/1/1971
General Securities Principal ExaminationSeries 1
Date: 1/29/1971
Registered Representative ExaminationSeries 8
Date: 9/25/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEBENTHAL GLOBAL ADVISORS, LLC
CRD#: 283303 / SEC#: 801-110652
Contact information
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,546 |
| AUM (Assets Under Management) | $ 971,848,436 |
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.
