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JM

John G. Mcgovern

Some features on this profile are disabled
CRD#: 5272533
JM

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 Gregory Mcgovern, who also goes by J. Gregory Mcgovern, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2007. John had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

J. Gregory Mcgovern

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) PENN INVESTMENT ADVISORS. INVESTMENT RELATED BUSINESS. At Registered Location. INVESTMENT ADVISORY SERVICES ARE OFFERED THROUGH PENN INVESTMENT ADVISORS, INC. (PIA), A REGISTERED INVESTMENT ADVISOR, WHOLLY OWNED SUBSIDIARY OF PENN COMMUNITY BANK. TITLE IS VP, FINANCIAL ADVISOR. STARTED 05/2015. 120 HRS/MO DEVOTED - 6.5HRS/DAY DURING TRADING. DUTiES ARE WORK CLOSELY WITH CLIENTS AND PROSPECTS WILL FOCUS ON ASSISTING CLIENTS ACHIEVE THEIR FINANCIAL GOALS THROUGH USE OF PENN INVESTMENT ADVISORS' PRODUCTS AND SERVICES TO HIGH NET WORTH INDIVIDUALS PRIMARILY THROUGH FACE-TO-FACE/VIRTUAL MEETINGS & NETWORKING WITH VARIOUS SOURCES THROUGH DIRECT PROSPECTING, CULTIVATION OF EXTERNAL REFERRAL SOURCES & CREATIVE NETWORKING WITH KEY CENTERS OF INFLUENCERS. 2)PKS FINANCIAL. INVESTMENT RELATED. LOCATED AT 80 STATE STREET, ALBANY NY 12207. FIXED/TRADITIONAL INSURANCE BUSINESS. TITLE IS AGENT. STARTED 08/2020. 60 HRS/MO DEVOTED - 60 DURING TRADING. DUTIES ARE SALES OF FIXED/TRADITIONAL INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2020 - August 16, 2022

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Doylestown, PA
Past

June 6, 2018 - June 30, 2020

PTS BROKERAGE, LLC

BD
CRD#: 119307
Doylestown, PA
Past

May 23, 2016 - May 11, 2018

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
Doylestown, PA
Past

May 9, 2016 - August 15, 2022

PENN INVESTMENT ADVISORS, INC.

RIA
CRD#: 151715
DOYLESTOWN, PA
Past

December 14, 2012 - January 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DOYLESTOWN, PA
Past

December 14, 2012 - January 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
DOYLESTOWN, PA
Past

April 12, 2007 - December 18, 2012

EDWARD JONES

RIA
CRD#: 250
SOUDERTON, PA
Past

February 22, 2007 - December 18, 2012

EDWARD JONES

BD
CRD#: 250
SOUDERTON, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/11/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2007
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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