John H Abbott
Professional Summary
John H Abbott, who also goes by John Holliday Abbott, is a registered financial advisor currently at WOLFE RESEARCH SECURITIES located in Houston, Texas. John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Holliday Abbott
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES
Contact Information
Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013Phone Number
(646) 845-0700Established
New York since 08/03/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/2/2024)
(5/2/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2011About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John H Abbott's CRS (Customer Relationship Summary).
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