John Richard Shoup
Professional Summary
John Richard Shoup was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1969 - 1989. John had worked at 4 firms and has passed the Series 63, PC, Series 1, Series 40 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
BANGOR SECURITIES, INC. | LIVADA SECURITIES, INC.
Contact Information
Established
Maine since 11/09/1969Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANGOR SAVINGS BANK AND SUBSIDIARIES | 100% OWNER | — |
| BOSSIDY, ERIC GARETH | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | 2524738 |
| CARLISLE, DAVID M | DIRECTOR | — |
| CONLON, JAMES J. | DIRECTOR | — |
| MACLEOD, JAMES A | PRESIDENT | 4372272 |
| NICKERSON, BRUCE G | TREASURER/OFFICER | — |
| PIASIO, GREGG MICHAEL | DIRECTOR | 1288289 |
| STRONG, ROBERT A | DIRECTOR | — |
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jul 1977Series 1 — Registered Representative Examination
Passed Aug 1969Series 40 — Registered Principal Examination
Passed May 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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