John C. Harrington
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 Colin Harrington, who also goes by Colin Harrington, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7 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
November 9, 2011 - December 21, 2016
GRANDVIEW CAPITAL MARKETS, LLC
October 11, 2005 - June 20, 2008
B. RILEY SECURITIES, INC.
February 21, 1997 - May 25, 2004
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GRANDVIEW CAPITAL MARKETS, LLC
CRD#: 152902 / SEC#: , 8-68488
Contact information
Documents
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.
