John P. Ginley
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 Patrick Ginley, who also goes by John P Ginley, John Patrick Ginley, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2022 - October 21, 2025
BRENTVIEW INVESTMENT MANAGEMENT, LLC
February 19, 2021 - February 4, 2022
BMO ASSET MANAGEMENT CORP.
January 2, 2020 - December 31, 2021
FORESIDE FINANCIAL SERVICES, LLC
December 1, 2017 - December 31, 2020
BMO ASSET MANAGEMENT CORP.
December 1, 2017 - December 31, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
December 4, 2014 - July 7, 2017
ADVISORS ASSET MANAGEMENT, INC.
December 4, 2014 - July 7, 2017
ADVISORS ASSET MANAGEMENT, INC.
December 18, 2013 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2013 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2011 - October 2, 2013
NUVEEN ASSET MANAGEMENT, LLC
June 5, 2002 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 3, 2000 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
March 16, 1995 - October 2, 2013
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
BRENTVIEW INVESTMENT MANAGEMENT, LLC
CRD#: 300409 / SEC#: 801-118493
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 7TO
Date: 1/18/2024
General Securities Representative ExaminationCurrent Firm
BRENTVIEW INVESTMENT MANAGEMENT, LLC
CRD#: 300409 / SEC#: 801-118493
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 256 |
| AUM (Assets Under Management) | $ 233,434,428 |
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.
