John Mcgowan
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 Mcgowan III, who also goes by John Nmn Mcgowan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 15 firms and has passed the Series 63, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1997 - March 29, 2000
BAXTER BANKS & SMITH, LTD.
April 21, 1995 - December 31, 1995
CALTON & ASSOCIATES, INC.
September 6, 1994 - March 22, 1995
TITAN/VALUE EQUITIES GROUP, INC.
March 15, 1994 - June 10, 1994
MORGAN STANLEY DW INC.
September 13, 1993 - March 9, 1994
DONALD & CO. SECURITIES INC.
August 11, 1992 - December 31, 1992
INVESTACORP, INC.
March 27, 1991 - July 21, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1990 - December 15, 1990
FINANCIAL INFORMATION CENTERS BROKERAGE, INC.
April 17, 1989 - September 27, 1989
TAMARON INVESTMENTS, INC.
March 2, 1989 - December 15, 1990
FINANCIAL INFORMATION CENTERS BROKERAGE, INC.
May 27, 1988 - November 12, 1988
KAVANAUGH SECURITIES, INC.
May 12, 1987 - June 20, 1988
NORTH AMERICAN INVESTMENT CORP.
November 22, 1977 - September 25, 1986
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
September 6, 1972 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 9/1/1972
Registered Representative ExaminationSeries 40
Date: 8/26/1976
Registered Principal ExaminationCurrent Firm
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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