John M. Gorman
Professional summary
John M Gorman, who also goes by John Michael Gorman, is a registered financial advisor currently at MAINSTREET ADVISORS located in Cornelius, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. John has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John M Gorman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2020 - Present
MAINSTREET ADVISORS
February 4, 2019 - November 1, 2019
CAPIS
November 5, 2013 - May 28, 2019
FINTECH SECURITIES
September 24, 2010 - October 18, 2011
TD AMERITRADE, INC.
September 23, 2010 - October 18, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 17, 2010 - October 18, 2011
TD AMERITRADE, INC.
April 4, 2007 - June 30, 2008
METROPOLITAN WEST SECURITIES, LLC
Primary Firm SEC Registration
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/31/2020)
Exams
Current Firm
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,683 |
| AUM (Assets Under Management) | $ 5,409,800,392 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2024 | ||
| 01/26/2024 | ||
| 11/28/2022 |
Red Flags
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