John B. Lowy
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 B. Lowy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2013. John had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2013 - April 2, 2018
TRANSNATIONAL CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSNATIONAL CAPITAL CORP.
CRD#: 135306 / SEC#: , 8-66908
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREDERICKS, IVY LINDSTROM | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1404106 |
| FREDERICKS, IVY LINDSTROM | PRESIDENT/CEO/ SECREATARY/TREASURER/CHIEF COMPLIANCE OFFICER | 1404106 |
| FREDERICKS, IVY LINDSTROM | FINOP | 1404106 |
| MAH, FRANK PING HANG | MANAGING DIRECTOR | 1525147 |
| POST, GARY MARSHALL | MANAGING DIRECTOR | 1383099 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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