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JG

John J. Gauthier

CC SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4921009
JG

Professional summary

John Joseph Gauthier is a registered financial professional currently at CC SECURITIES, LLC located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 2006. John has worked at 2 firms and has passed the Series 63, Series 82TO, Series 3 and Series 7 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 Joseph Gauthier'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®
None

Experience

Current

August 3, 2020 - Present

CC SECURITIES, LLC

Office #1: 3 Landmark Square 5th Floor, Stamford, CT 06901Office #2: 3 Landmark Square 5th Floor, Stamford, CT 06901
BD
CRD#: 153523
Stamford, CT
Past

January 1, 2006 - October 1, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

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
(7/1/2021)
RR
California
(8/3/2020)
RR
Colorado
(8/20/2020)
RR
Connecticut
(8/3/2020)
RR
Illinois
(8/6/2020)
RR
Louisiana
(1/29/2024)
RR
Massachusetts
(8/4/2020)
RR
New Jersey
(9/16/2020)
RR
New York
(8/21/2020)
RR
Ohio
(8/20/2020)
RR
Pennsylvania
(8/4/2020)
RR
Texas
(8/7/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/31/2020
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 3
Date: 2/1/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CC SECURITIES, LLC
CC SECURITIES, LLC | CENTERCAP SECURITIES, LLC | CENTERCAP SECURITIES

CRD#: 153523 / SEC#: , 8-68546

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

Main Address
3 Landmark Square 5th Floor, Stamford, CT 06901
Mailing Address
3 Landmark Square 5th Floor, Stamford, CT 06901
Phone number
(212) 620-2655
Established
Delaware since 12/07/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE CENTERCAP GROUP, LLCOWNER
BEESON, LISA EYLESOFFICER1735489
GAVLIK, MARGARET WASHBURNCCO1175128
MILLER, ANDREW DAVIDCFO/PRINCIPAL FINANCIAL OFFICER5106774
SMITH, DEBORAH LEANNECEO/PRINCIPAL OPERATIONS OFFICER4429184

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

CC SECURITIES, LLC

CRD#: 153523Stamford, CT 06901

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