John Macgregor
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 Macgregor, CFP®, who also goes by John Rouse Macgregor, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
December 6, 2018 - May 1, 2019
VELOX CLEARING LLC
November 30, 2018 - June 21, 2019
ZINVEST FINANCIAL SERVICE, LLC
June 3, 2016 - December 15, 2016
KMS FINANCIAL SERVICES, INC.
June 2, 2016 - December 15, 2016
KMS FINANCIAL SERVICES, INC.
July 2, 2012 - July 3, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
July 6, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
July 6, 2011 - June 17, 2014
FIRST ALLIED SECURITIES, INC.
September 1, 2009 - June 1, 2011
VSR FINANCIAL SERVICES, INC.
September 1, 2009 - June 1, 2011
VSR FINANCIAL SERVICES, INC.
January 8, 2009 - June 4, 2009
LPL FINANCIAL LLC
January 5, 2009 - June 4, 2009
LPL FINANCIAL LLC
March 10, 2005 - July 7, 2008
LPL FINANCIAL LLC
March 10, 2005 - July 7, 2008
LPL FINANCIAL LLC
December 10, 2001 - January 27, 2005
RITTENHOUSE ASSET MANAGEMENT, INC.
October 2, 2001 - January 28, 2005
NUVEEN SECURITIES, LLC
February 8, 1996 - May 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 1994 - November 21, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1994 - October 11, 1994
INTERFIRST CAPITAL 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
VELOX CLEARING LLC
CRD#: 290215 / SEC#: , 8-70017
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
