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JT

John P. Tuohy

LITTLE RIVER CAPITAL
VESTAVIA HILLS, AL 35243
Some features on this profile are disabled
CRD#: 4454485
JT

Professional summary

John Patrick Tuohy is a registered financial professional currently at LITTLE RIVER CAPITAL, LLC located in Vestavia Hills, Alabama.

John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Tuohy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 24, 2025 - Present

LITTLE RIVER CAPITAL, LLC

Office #1: 4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243
BD
CRD#: 118917
VESTAVIA HILLS, AL
Past

February 2, 2015 - December 15, 2023

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

February 2, 2015 - December 15, 2023

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
SAN ANTONIO, TX
Past

July 20, 2005 - February 3, 2015

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
BOERNE, TX
Past

May 6, 2002 - February 3, 2015

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
BOERNE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/24/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LITTLE RIVER CAPITAL, LLC
CHICAGO ANALYTIC TRADING COMPANY, LLC | LITTLE RIVER CAPITAL, LLC

CRD#: 118917 / SEC#: , 8-53698

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243
Mailing Address
216 Cahaba Oaks Trail, Indian Springs, AL 35124
Phone number
(251) 379-7228
Established
Delaware since 11/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NIX, JOHN R JRCEO,CCO5414111
SMITH, LANCE MARTINOWNER5606675
7676 CAPITAL PARTNERS, LLCOWNER
LENART, BRIAN DOUGLASFINOP, PFO/POO736107

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.

Company Information

LITTLE RIVER CAPITAL, LLC

CRD#: 118917Vestavia Hills, AL 35243

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