John T. Wimberly
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 Thomas Wimberly, who also goes by Jack Wimberly, John T. Wimberly, John Wimberly, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2016. John had worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - December 18, 2020
STONEGATE CAPITAL MARKETS, INC.
June 23, 2016 - August 14, 2017
B. RILEY WEALTH MANAGEMENT
March 22, 2016 - August 14, 2017
B. RILEY WEALTH MANAGEMENT
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
STONEGATE CAPITAL MARKETS, INC.
CRD#: 6376 / SEC#: , 8-17359
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
