John E. 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 Evans Mcgowan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 5 firms and has passed the Series 4, F04 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
January 26, 2018 - February 11, 2021
INVESTMENT & FINANCIAL SERVICES
October 29, 1974 - December 17, 2004
KEEL POINT CAPITAL, LLC
December 26, 1973 - February 11, 1974
ROTAN MOSLE INC.
January 13, 1972 - May 3, 1974
MORONEY, BEISSNER & CO., INC.
August 14, 1968 - February 20, 1972
SECURITIES MANAGEMENT & RESEARCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/13/1974
Financial Principal ExaminationSeries 40
Date: 7/26/1968
Registered Principal ExaminationCurrent Firm
INVESTMENT & FINANCIAL SERVICES
CRD#: 289399 / SEC#:
Contact information
Red Flags
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