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JD

John G. Duguid

Some features on this profile are disabled
CRD#: 5989535
JD

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 Gilmore Duguid was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2014. John had worked at 5 firms and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

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.
BIOIMPACT LLC 1 WENTWORTH DRIVE SOUTHBOROUGH, MA 01772 OWNER & MANAGING DIRECTOR (NON-SECURITIES RELATED) HEALTHCARE & LIFE SCIENCES ANALYTICS, INTELLIGENCE, INFORMATICS & CONSULTING EFFECTIVE: 12/13/2021 10 HOURS PER MONTH/0HOURS PER MONTH DURING MARKET HOURS AUCTUS CAPITAL PARTNERS 190 S LASALLE ST SUITE 1250 Chicago, IL 60603 MANAGING DIRECTOR (HEALTHCARE & LIFE SCIENCES) NON-SECURITIES RELATED ADVISORY, VALUATION & CONSULTING SERVICES EFFECTIVE: 04/01/2019 50 HOURS PER MONTH/30 HOURS PER MONTH DURING MARKET HOURS BIOCONNEXUS, LLC (NORTH AMERICA) & BIOCONNEXUS CAPITAL LLC (INTERNATIONAL) 150 STONE RIDGE RD ALBRIGHTSVILLE, PA 18210 MANAGING DIRECTOR/ NON-SECURITIES RELATED HEALTHCARE CONSULTING EFFECTIVE: 10/01/2018 80 HOURS PER MONTH/40 HOURS PER MONTH DURING MARKET HOURS QMI CAPITAL MANAGEMENT LLC 1 WENTWORTH DRIVE SOUTHBOROUGH, MA 01772 OWNER & MANAGING DIRECTOR/INVESTMENT ADVISORY & FINANCIAL PLANNING EFFECTIVE: 08/01/2018 60 HOURS PER MONTH/50 HOUR PER MONTH DURING MARKET HOURS RENTAL PROPERTY 4802 PATTERSON STREET BRIDGEWATER, NJ 08807 EFFECTIVE: 09/01/2010 0.2 HOUR PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS

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

April 14, 2021 - August 27, 2024

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

January 6, 2021 - March 31, 2021

MARCH CAPITAL CORP.

BD
CRD#: 24142
CHICAGO, IL
Past

August 13, 2019 - December 31, 2020

INVESTX MARKETS LLC

BD
CRD#: 148248
CHICAGO, IL
Past

January 3, 2018 - December 11, 2023

QMI CAPITAL

RIA
CRD#: 291002
SOUTHBOROUGH, MA
Past

January 13, 2014 - January 22, 2016

STIRLING BRIG INVESTMENT MANAGEMENT LLC

RIA
CRD#: 168984
SOUTHBOROUGH, MA

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
Series 63
Date: 8/29/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 8/13/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 4/22/2019
Securities Industry Essentials Examination

Current Firm

BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

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

Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
BA HOLDCO, LLCOWNER
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRESIDENT1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDCHIEF OPERATIONS OFFICER & AML OFFICER4221461

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

BA SECURITIES, LLC

CRD#: 153489

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