John P. Tuohy
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Tuohy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2025 - Present
LITTLE RIVER CAPITAL, LLC
Office #1: 4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243February 2, 2015 - December 15, 2023
SWBC INVESTMENT COMPANY
February 2, 2015 - December 15, 2023
SWBC INVESTMENT SERVICES, LLC
July 20, 2005 - February 3, 2015
ADVISORS ASSET MANAGEMENT, INC.
May 6, 2002 - February 3, 2015
ADVISORS ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LITTLE RIVER CAPITAL, LLC
CRD#: 118917 / SEC#: , 8-53698
Contact information
FINRA licenses (8 States and Territories)
Red Flags
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Company Information
LITTLE RIVER CAPITAL, LLC
CRD#: 118917Vestavia Hills, AL 35243TRUST BUT VERIFY
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