John N. Whitman
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 Newcom Whitman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 6 firms and has passed the Series 63 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 9, 2010 - April 3, 2012
U.S. STERLING SECURITIES, INC.
September 20, 2006 - June 25, 2008
NATWEST MARKETS SECURITIES INC.
October 16, 2000 - September 7, 2006
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 1998 - October 16, 2000
PERSHING LLC
August 25, 1993 - September 15, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
August 3, 1993 - September 2, 1993
J.P. MORGAN SECURITIES LLC
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
U.S. STERLING SECURITIES, INC.
CRD#: 35912 / SEC#: , 8-47052
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
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.
