John N. Tobias
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 Norris Tobias, who also goes by John N Tobias, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 8 firms and has passed the Series 66, Series 63, Series 7, PC, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2012 - December 20, 2013
HERNDON PLANT OAKLEY, LTD.
June 1, 2009 - May 17, 2010
MORGAN STANLEY
June 1, 2009 - May 17, 2010
MORGAN STANLEY
December 18, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 5, 1998 - January 6, 2000
A. G. EDWARDS & SONS, INC.
September 1, 1994 - May 7, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
July 3, 1990 - September 1, 1994
HAMILTON INVESTMENTS, INC.
September 26, 1978 - July 11, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971 / SEC#: 801-55675, 8-50912
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 92,904,841 |
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.
