John F. Mcgowan
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 Francis Mcgowan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - February 4, 2025
VAN LANSCHOT KEMPEN (USA) INC.
December 21, 2005 - December 24, 2009
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
March 8, 2004 - December 20, 2005
HEDGE FUND CAPITAL PARTNERS, LLC
January 28, 2003 - February 23, 2004
SANDERS MORRIS LLC
January 3, 2002 - January 15, 2003
HANMI SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
VAN LANSCHOT KEMPEN (USA) INC.
CRD#: 38760 / SEC#: , 8-48389
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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