John G. Marsh
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 Griffiths Marsh SR, who also goes by John G Marsh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1963. John had worked at 3 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1973 - July 30, 1976
WOOLARD & COMPANY INCORPORATED
August 7, 1973 - December 9, 1996
BERGHOFF & COMPANY, INC.
June 28, 1963 - September 13, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 6/25/1963
Registered Representative ExaminationF04
Date: 11/17/1976
Financial Principal ExaminationSeries 00
Date: 10/26/1973
General Securities Principal ExaminationCurrent firm
No current employment
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.
