Catherine G. John
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.
Catherine G John, who also goes by Catherine Grubbs, Catherine Walker, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2001. Catherine had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2008 - May 8, 2017
NEWPORT GROUP SECURITIES, INC.
January 3, 2008 - May 8, 2017
NEWPORT GROUP SECURITIES, INC.
March 16, 2007 - December 12, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 16, 2007 - December 12, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 25, 2005 - September 15, 2006
GROVE POINT INVESTMENTS, LLC
October 25, 2005 - September 15, 2006
GROVE POINT INVESTMENTS, LLC
April 28, 2003 - November 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
April 14, 2003 - November 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
April 23, 2002 - March 26, 2003
NEW ENGLAND SECURITIES
May 11, 2001 - April 23, 2003
CREATIVE FINANCIAL DESIGNS, 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
Current Firm
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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.
