John C. Ou
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 Chihong Ou was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - September 7, 2016
SECUREVEST FINANCIAL GROUP
August 8, 2014 - December 3, 2015
ODEON CAPITAL GROUP LLC
April 25, 2013 - August 4, 2014
SANTANDER US CAPITAL MARKETS LLC
December 3, 2012 - April 18, 2013
BREAN CAPITAL, LLC
April 5, 2011 - December 4, 2012
STONECASTLE SECURITIES, LLC
October 30, 2006 - March 21, 2011
GUGGENHEIM SECURITIES, LLC
February 10, 2004 - August 23, 2006
BROADPOINT DESCAP
April 5, 1999 - February 9, 2004
COUNTRYWIDE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 4/1/1999
Government Securities Representative ExaminationCurrent Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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