John C. Bloom
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 Charles Bloom was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 10 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2004 - October 15, 2014
PERSONAL FINANCIAL MANAGEMENT
October 15, 2001 - March 3, 2004
LOCKWOOD FINANCIAL SERVICES, INC.
September 17, 2001 - March 3, 2004
LOCKWOOD FINANCIAL SERVICES, INC.
August 24, 1995 - August 21, 2001
BMA FINANCIAL SERVICES, INC.
July 31, 1993 - October 26, 1993
CITIGROUP GLOBAL MARKETS INC.
May 29, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
January 26, 1990 - February 27, 1991
MERCER ALLIED CORPORATION
April 11, 1988 - January 8, 1990
LEHMAN BROTHERS INC.
September 27, 1976 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 20, 1975 - September 9, 1976
ISC DIVERSIFIED INVESTMENTS, INC.
January 11, 1972 - May 17, 1975
WADDELL & REED
March 10, 1971 - January 31, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 18, 1969 - March 24, 1971
WADDELL & REED
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 1
Date: 4/15/1969
Registered Representative ExaminationSeries 00
Date: 6/1/1973
General Securities Principal ExaminationCurrent Firm
PERSONAL FINANCIAL MANAGEMENT
CRD#: 130123 / SEC#:
Contact information
Red Flags
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