John L. Page
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 Larrence Page, who also goes by John Laurence Page, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 10 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
March 17, 2014 - August 15, 2019
BROWNSTONE INVESTMENT GROUP, LLC
September 18, 2009 - March 13, 2014
CAROLINA CAPITAL MARKETS, INC.
October 1, 2007 - February 20, 2008
CP CAPITAL SECURITIES
September 27, 2005 - November 8, 2005
J.P.R. CAPITAL CORP.
December 20, 2002 - September 17, 2004
AXIOM CAPITAL MANAGEMENT, INC.
September 27, 2000 - January 9, 2003
UBS FINANCIAL SERVICES INC.
September 15, 2000 - January 9, 2003
UBS FINANCIAL SERVICES INC.
September 3, 1998 - October 3, 2000
CIBC WORLD MARKETS CORP.
January 26, 1996 - September 1, 1998
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 1993 - February 12, 1996
CITIGROUP GLOBAL MARKETS INC.
August 26, 1992 - July 31, 1993
LEHMAN BROTHERS 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
Current Firm
BROWNSTONE INVESTMENT GROUP, LLC
CRD#: 43884 / SEC#: , 8-50460
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWNSTONE INVESTMENT OPPORTUNITIES, LLC | SOLE MEMBER | |
| BARTMESS, JOANNE CHRISTINE | FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18) | 2922047 |
| HUNTER, MICHELLE HALLA | CHIEF COMPLIANCE OFFICER | 2689083 |
| LOWEY, DOUGLAS BENNETT | MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER | 1932929 |
| SABLOWSKY, JON SCOTT | CHIEF OPERATING OFFICER | 1515334 |
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.
