John L. Boggs
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 Louis Boggs was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1982 - March 8, 1988
ACUMENT SECURITIES, INC.
October 2, 1980 - October 28, 1981
ACUMENT SECURITIES, INC.
March 7, 1978 - May 5, 1979
SECURITIES WEST, INC.
February 18, 1976 - March 6, 1978
BIRR, WILSON & CO., INC.
January 22, 1975 - March 5, 1976
REYNOLDS SECURITIES, INC.
April 9, 1974 - December 30, 1974
EMMETT A LARKIN COMPANY, INC.
October 5, 1973 - May 11, 1974
ROBERTS, SCOTT & CO., INC.
September 17, 1969 - September 25, 1975
FIRST CALIFORNIA COMPANY, INCORPORATED
December 14, 1967 - March 1, 1972
MEYERSON & CO., INCORPORATED
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: 4/28/1967
Registered Representative ExaminationCurrent Firm
ACUMENT SECURITIES, INC.
CRD#: 7661 / SEC#: , 8-22999
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
