John P. Blaha
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 Patrick Blaha, who also goes by John P Blaha, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - December 21, 2021
SECURITIES AMERICA, INC.
January 17, 2019 - July 17, 2020
INVESTACORP, INC.
September 2, 2015 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 17, 2014 - November 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2009 - February 3, 2011
LPL FINANCIAL LLC
September 8, 2009 - February 3, 2011
LPL FINANCIAL LLC
May 9, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
May 8, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
January 17, 2007 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2007 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 19, 1999 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 1997 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1996 - August 30, 1996
MML INVESTORS SERVICES, LLC
October 4, 1978 - March 1, 1996
G. R. PHELPS & CO., 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
Series 1
Date: 9/22/1978
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
