JE
John Essigman
MOORS & CABOT
Cleveland, GA 30528
Some features on this profile are disabled
CRD#: 4917240
JE
Professional summary
John Essigman, who also goes by John Peter Essigman, is a registered financial advisor currently at MOORS & CABOT, INC. located in Cleveland, Georgia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Peter Essigman
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.
1) Appleseed Holdings, LLC, 141 North Main Street, Cleveland, GA 30528, start date 1/26/2018, Position Managing Member, Residential Property owned by Appleseed Holdings, LLC, 50% ownership and wife has 50% ownership, hours spent per month 1, hour spent during trading hours 0, currently not compensated until it sells. 2) White County Rotary Club, 141 North Main Street, start date 7/2013, Board Member, Treasurer and Bookkeeper, Non-profit Civic Organization, hours spent per month 5, hours spent during trading hours 2, compensated $3k annually, dual signature authority. 3) John Essigman, LLC, 141 North Main Street, Cleveland, GA 30528, Position Managing Member, Commercial and Residential Real Estate, For profit, 50%ownership and wife has 50% ownership, hours spent per month 5, hours spent during trading hours 5, compensation $7920 per month, Administrative Manager handling items related to real estate property and provides operational advice. 4) Essigman Family Trust; Cleveland, GA; Start date 2/25/2022; Trustee; Investment Related: No; 1 hour per month during trading hours. 5) Bluecreek LLC; 141 North Main Street, Cleveland, GA 30528; Managing Member; Real Estate Development, Rental, and Leasing, Administrative Manager handling items related to real estate 6) Bluecreek Properties LLC; 141 North Main Street, Cleveland, GA 30528; Managing Member; Real Estate Development, Rental, and Leasing, Administrative Manager handling items related to real estate
CRS (Client Relationship Summary) - RIA
Click below to view John Essigman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Essigman's 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®
NoneExperience
Current
August 4, 2022 - Present
MOORS & CABOT, INC.
Office #1: 141 N Main St, Cleveland, GA 30528RIA
BD
CRD#: 594
Cleveland, GA
Current
August 1, 2022 - Present
MOORS & CABOT, INC.
Office #1: 141 N Main St, Cleveland, GA 30528RIA
BD
CRD#: 594
Cleveland, GA
Past
January 25, 2021 - August 4, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Cleveland, GA
Past
December 16, 2020 - August 4, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Cleveland, GA
Past
August 23, 2011 - December 14, 2020
JOHN ESSIGMAN WEALTH ADVISORS, LLC
RIA
CRD#: 158853
CLEVELAND, GA
Past
August 18, 2011 - December 31, 2012
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
CLEVELAND, GA
Past
September 30, 2008 - August 18, 2011
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
CLEVELAND, GA
Past
September 25, 2008 - August 18, 2011
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
CLEVELAND, GA
Past
October 18, 2007 - September 26, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
CLEVELAND, GA
Past
September 18, 2007 - September 26, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
CLEVELAND, GA
Past
November 8, 2006 - October 23, 2007
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CLEVELAND, GA
Past
April 18, 2006 - October 23, 2007
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CLEVELAND, GA
Past
April 8, 2005 - April 19, 2006
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/28/2022)
RR
Arizona(11/3/2022)
RR
California(8/1/2022)
RR
Florida(8/1/2022)
RR
Georgia(8/1/2022)
IAR
Georgia(8/4/2022)
RR
Idaho(2/5/2024)
RR
Indiana(4/13/2023)
RR
Kentucky(4/13/2023)
RR
Michigan(4/13/2023)
RR
New Jersey(4/13/2023)
RR
New York(8/1/2022)
RR
North Carolina(8/1/2022)
RR
Ohio(2/3/2025)
RR
Oregon(8/1/2022)
RR
South Carolina(8/1/2022)
RR
Texas(4/13/2023)
RR
Virginia(4/13/2023)
RR
Washington(8/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/25/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
