John A. Sprague
Professional summary
John Abbott Sprague, who also goes by Abbott Sprague, J. Abbott Sprague, is a registered financial professional currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1978. John has worked at 4 firms and has passed the Series 63, SIE, Series 22, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Abbott Sprague's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2012 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 1218 Webster Street, Houston, TX 77002-8841January 2, 1990 - October 2, 2001
FUND MANAGEMENT COMPANY
August 27, 1980 - August 28, 1991
INVESCO DISTRIBUTORS, INC.
November 1, 1978 - February 18, 1980
CIBC WORLD MARKETS 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
(8/22/2012)
(8/24/2012)
(9/3/2014)
(8/22/2012)
(8/22/2012)
(2/13/2013)
Exams
FINRA
Current Firm
RIDGEBACK SECURITIES, LTD
CRD#: 120448 / SEC#: , 8-65298
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, LLC | LIMITED PARTNER | |
| CAPITAL FINANCIAL GROUP, INC. | LIMITED PARTNER | |
| BRISTOW, BRIAN BRUCE | CHIEF OPERATING OFFICER | 3151921 |
| CONNOLLY, BRENDAN MACKEY | CHIEF COMPLIANCE OFFICER | 4352883 |
| MCSALGP, LLC | GENERAL PARTNER | |
| VANPELT, WILLIAM HENRY IV | PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER | 1716622 |
Red Flags
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Company Information
RIDGEBACK SECURITIES, LTD
CRD#: 120448Houston, TX 77002-8841TRUST BUT VERIFY
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