John E. Storms
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 Eldon Storms III, who also goes by Jack Storms, John Eldon Storms, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2007 - December 31, 2023
NATIONS FINANCIAL GROUP, INC.
September 7, 2001 - January 22, 2007
MIDSOUTH CAPITAL, INC.
June 27, 1997 - September 7, 2001
FIRST SECURITY INVESTMENTS, INC.
January 13, 1995 - June 17, 1997
AEGIS CAPITAL CORP.
September 29, 1994 - January 17, 1995
MEYERS POLLOCK ROBBINS, INC.
December 8, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
July 15, 1991 - December 17, 1992
HAMPSHIRE SECURITIES CORPORATION
March 14, 1988 - June 14, 1991
STATEN SECURITIES CORPORATION
July 3, 1985 - March 22, 1988
SWARTWOOD, HESSE INC.
June 25, 1984 - July 3, 1985
ROONEY, PACE INC.
April 21, 1983 - July 5, 1984
JOSEPHTHAL & CO., INC.
November 15, 1978 - April 18, 1983
FITTIN, CUNNINGHAM & LAUZON, INC.
April 27, 1971 - May 7, 1978
TODD AND COMPANY, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/21/1971
Registered Representative ExaminationSeries 8
Date: 3/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
