John L. Shipley
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 Lewis Shipley was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - December 31, 2013
SHIPLEY FINANCIAL & TAX ADVISORS, PLLC
November 19, 2004 - December 31, 2005
SICOR SECURITIES INC
November 19, 2004 - December 31, 2005
SICOR SECURITIES INC
January 8, 2004 - November 29, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 1, 2001 - November 29, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 23, 1997 - August 16, 2001
1ST GLOBAL CAPITAL CORP.
May 12, 1997 - August 13, 1997
MONEY CONCEPTS CAPITAL CORP
State Registrations and Notice Filings
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Exams
Current Firm
SHIPLEY FINANCIAL & TAX ADVISORS, PLLC
CRD#: 138286 / SEC#:
Contact information
Red Flags
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