John Gardner
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 Gardner, who also goes by John Adams Gardner Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 11 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2020 - December 1, 2025
GUGGENHEIM SECURITIES, LLC
April 14, 2020 - July 28, 2020
SRT SECURITIES LLC
December 7, 2018 - March 21, 2020
DASH FINANCIAL TECHNOLOGIES LLC
July 11, 2017 - October 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2007 - June 28, 2017
BLOOMBERG TRADEBOOK LLC
October 6, 2006 - April 2, 2008
TRINITY DERIVATIVES GROUP, LLC
September 20, 2005 - October 16, 2006
CITIGROUP GLOBAL MARKETS INC.
September 20, 2005 - October 16, 2006
CITIGROUP GLOBAL MARKETS INC.
July 6, 2005 - September 22, 2005
GARDNER & GARDNER, LLC
March 17, 2005 - September 16, 2005
1ST WORLDWIDE FINANCIAL PARTNERS, LLC
April 16, 2004 - March 7, 2005
THOMAS GROUP CAPITAL
September 23, 2003 - February 24, 2004
SLK-HULL DERIVATIVES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/10/2004
Limited Representative-Equity Trader ExamCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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