John E. Ligums
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 Edmund Ligums SR, who also goes by John Edmund Ligums, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 9 firms and has passed the Series 63, Series 3, Series 1, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2008 - March 26, 2010
J.P. TURNER & COMPANY, L.L.C.
May 18, 2005 - February 27, 2008
EMPIRE FINANCIAL GROUP, INC.
July 13, 2000 - May 13, 2005
J.P. TURNER & COMPANY, L.L.C.
January 14, 1999 - July 17, 2000
CANTELLA & CO., INC.
May 31, 1996 - October 28, 1998
NORTHEAST SECURITIES, LLC
December 9, 1983 - April 27, 1995
J. EDMUND & CO.
August 12, 1974 - September 9, 1979
JSC SECURITIES, INC.
April 2, 1973 - October 3, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 2, 1971 - May 3, 1972
GOWELL SECURITIES CORPORATION
March 12, 1971 - September 17, 1972
BALTIMORE SECURITIES COMPANY
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 1
Date: 3/10/1971
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
