John W. Grant
Professional summary
John William Grant was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, John had worked at 8 firms, which includes TORREY PINES SECURITIES INC., SPELMAN & CO. INC., SUTRO & CO. INCORPORATED, MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., ROBERTS SCOTT & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2002 - January 3, 2011
TORREY PINES SECURITIES, INC.
July 2, 2002 - January 3, 2011
TORREY PINES SECURITIES, INC.
December 11, 2000 - July 11, 2002
SPELMAN & CO., INC.
May 16, 2000 - December 14, 2000
SUTRO & CO. INCORPORATED
May 27, 1994 - May 9, 2000
MORGAN STANLEY DW INC.
August 25, 1989 - May 25, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 6, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
June 29, 1970 - February 13, 1987
CITIGROUP GLOBAL MARKETS INC.
June 4, 1970 - July 6, 1973
ROBERTS, SCOTT & CO., INC.
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 2/1/1979
AMEX Put and Call ExamSeries 000
Date: 6/29/1970
General Securities Principal ExaminationSeries 1
Date: 5/16/1970
Registered Representative ExaminationSeries 12
Date: 10/17/1981
NYSE Branch Manager ExaminationCurrent Firm
TORREY PINES SECURITIES, INC.
CRD#: 17120 / SEC#: , 8-35004
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
Red Flags
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