John J. Glynn
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 Joseph Glynn was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 2 firms and has passed the Series 41, Series 14 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
December 28, 1984 - April 28, 1992
GOLDEN HARRIS CAPITAL GROUP, INC.
May 20, 1974 - February 3, 2014
BAIRD, PATRICK & 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: 1/5/1979
NYSE Allied Member ExaminationSeries 40
Date: 12/21/1978
Registered Principal ExaminationCurrent Firm
GOLDEN HARRIS CAPITAL GROUP, INC.
CRD#: 13889 / SEC#: , 8-30042
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
