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JG

John H. Groth

Some features on this profile are disabled
CRD#: 231092
JG

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 Henry Groth was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1970. John had worked at 11 firms and has passed the Series 65, Series 63, Series 1, F04 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 16, 1994 - May 30, 2006

BEACON GLOBAL ADVISORS INC

BD
CRD#: 36691
NORTH BETHESDA, MD
Past

January 21, 1991 - January 5, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 11, 1988 - October 16, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 30, 1983 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 14, 1983 - August 22, 1983

ESI SECURITIES, INC.

BD
CRD#: 7905
Past

November 2, 1979 - August 12, 1981

MANNA CAPITAL MANAGEMENT

BD
CRD#: 552
Past

January 18, 1978 - May 10, 1978

LOEB PARTNERS

BD
CRD#: 7534
Past

June 10, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

BD
CRD#: 7394
Past

February 13, 1974 - June 14, 1977

LAIDLAW, MARTIN & MOYSEY, INC.

BD
CRD#: 6636
Past

July 2, 1971 - March 1, 1974

LASSISE AND COMPANY INC

BD
CRD#: 1000006
Past

November 2, 1970 - December 10, 1971

AARSAND & CO.

BD
CRD#: 1004

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/22/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/11/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 1/8/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 12/19/1973
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/9/1971
General Securities Principal Examination

Current Firm

BG
BEACON GLOBAL ADVISORS INC
BEACON GLOBAL ADVISOR, INC. | BEACON GLOBAL ADVISORS, INC. | BEACON GLOBAL ADVISORS INC

CRD#: 36691 / SEC#: , 8-47394

BD
Terminated by SEC on 05/27/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/28/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GROTH, JOHN HENRYMANAGING DIRECTOR231092

Disclosures

Regulatory Event4

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.

Company Information

BEACON GLOBAL ADVISORS INC

CRD#: 36691

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