John R. North
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 Richard North was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 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
February 6, 2017 - July 25, 2025
TRITON PACIFIC SECURITIES, LLC
April 29, 2014 - July 2, 2014
NATIONAL PLANNING CORPORATION
February 1, 2012 - May 2, 2012
D.A. DAVIDSON & CO.
November 4, 2010 - March 1, 2012
MCGLADREY CAPITAL MARKETS, LLC
February 17, 2010 - May 28, 2010
DIMIRAK SECURITIES CORPORATION
February 27, 2008 - October 16, 2009
KBS CAPITAL MARKETS GROUP LLC
January 31, 2006 - February 21, 2008
U.S. SELECT SECURITIES LLC
November 23, 2004 - November 17, 2005
AFAM CAPITAL, INC.
March 29, 2004 - October 25, 2005
QUASAR DISTRIBUTORS, LLC
March 30, 2001 - October 3, 2002
GENTER CAPITAL MANAGEMENT
October 19, 1998 - March 23, 2001
KA ASSOCIATES, LLC
August 27, 1998 - September 22, 1998
SUNAMERICA SECURITIES, INC.
September 20, 1994 - April 27, 1998
WM FUND SERVICES, INC.
December 21, 1993 - September 6, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
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
TRITON PACIFIC SECURITIES, LLC
CRD#: 139919 / SEC#: , 8-67262
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAGGEN, CRAIG JEFFREY | OWNER | 2734508 |
| BRAVIN, MICHAEL A | CCO/COMPLIANCE OFFICER | |
| BUEHLER, BRIAN DAVID | PRESIDENT/CEO | 3059422 |
| CARROLL, MICHAEL LOUIS | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 5282521 |
| TRITON PACIFIC CAPITAL PARTNERS, LLC. | MANAGING MEMBER | |
| TRITON PACIFIC GROUP, INC. | MANAGING MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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