John T. Place
Professional summary
John Thomas Place was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, John had worked at 5 firms, which includes GLOBAL TRANSITION SOLUTIONS INC., PIPER SANDLER & CO., VIE SECURITIES LLC, COWEN EXECUTION SERVICES LLC, AUTRANET LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2005 - July 8, 2014
GLOBAL TRANSITION SOLUTIONS, INC.
November 19, 2004 - February 22, 2005
PIPER SANDLER & CO.
August 20, 2004 - December 7, 2004
VIE SECURITIES, LLC
April 1, 2002 - July 14, 2004
COWEN EXECUTION SERVICES LLC
October 1, 1997 - April 1, 2002
AUTRANET, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLOBAL TRANSITION SOLUTIONS, INC.
CRD#: 21622 / SEC#: , 8-39065
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CATALINA HOLDINGS, INC. | OWNER | |
| ZOGBY, JAMES EDWARD | PRESIDENT, TREASURER, SECRETARY, FINOP,CCO | 2549557 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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