John P. Low
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 Phillip Low, who also goes by John Philip Low, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2022 - December 12, 2022
FRONTIER SECURITIES
December 19, 2019 - December 31, 2021
FRONTIER SECURITIES
June 24, 1998 - March 27, 2002
GOLDMAN SACHS & CO. LLC
January 7, 1997 - May 26, 1998
SOUNDVIEW TECHNOLOGY CORPORATION
April 18, 1995 - January 13, 1997
RODMAN & RENSHAW INC.
October 12, 1994 - April 28, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
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 82TO
Date: 11/11/2019
Limited Representative-Private Securities OfferingsSeries 55
Date: 12/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
FRONTIER SECURITIES
CRD#: 136102 / SEC#: , 8-66972
Contact information
FINRA licenses (47 States and Territories)
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.
