John P. Anthony
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 Patrick Anthony JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 8 firms and has passed the 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
July 5, 2016 - January 12, 2021
VINING-SPARKS IBG, LLC
May 5, 2014 - July 5, 2016
AUSTIN ATLANTIC CAPITAL INC.
October 25, 2004 - May 5, 2014
AMHERST SECURITIES GROUP, L.P.
October 28, 1998 - January 14, 2004
MULTI-BANK SECURITIES, INC.
September 4, 1997 - March 6, 1998
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
August 14, 1995 - November 27, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1993 - August 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1992 - June 1, 1993
F.N. WOLF & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
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.
