John T. Gillin
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 Thomas Gillin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 6 firms and has passed the Series 41, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1994 - May 13, 1997
THE PENNSYLVANIA GROUP, INCORPORATED
September 2, 1993 - November 15, 1994
USTOCKTRADE SECURITIES, INC.
April 12, 1990 - July 3, 1991
W.H. NEWBOLD'S SON & CO., INC.
May 25, 1989 - March 17, 1990
W.H. NEWBOLD'S SON & CO., INC.
December 23, 1987 - July 18, 1991
HOPPER SOLIDAY & CO., INC.
November 22, 1985 - August 29, 1987
KIDDER, PEABODY & CO. INCORPORATED
May 11, 1976 - August 17, 1979
TUCKER ANTHONY INCORPORATED
October 20, 1970 - May 8, 1976
THE PENNSYLVANIA GROUP, INCORPORATED
August 25, 1969 - November 23, 1985
W.H. NEWBOLD'S SON & CO., 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
Series 41
Date: 8/25/1969
NYSE Allied Member ExaminationSeries 1
Date: 6/25/1962
Registered Representative ExaminationSeries 40
Date: 8/25/1969
Registered Principal ExaminationCurrent Firm
THE PENNSYLVANIA GROUP, INCORPORATED
CRD#: 5402 / SEC#: , 8-32131
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUFORD, ANTHONY ABE JR | PRESIDENTAND CEO, DIRECTOR AND CFO AND CCOCHIEF COMPLIANCE OFFICER | 34823 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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