John Abbott Sprague
Professional Summary
John Abbott Sprague, who also goes by Abbott Sprague, J. Abbott Sprague, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Abbott Sprague, J. Abbott Sprague
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.
Contact Information
Main Address
1218 Webster Street, Houston, TX 77002-8841Mailing Address
1218 Webster Street, Houston, TX 77002-8841Phone Number
(713) 289-6200Established
Texas since 04/01/2002Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (37 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, INC | 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 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/22/2012)
(8/24/2012)
(9/3/2014)
(8/22/2012)
(8/22/2012)
(2/13/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 2012About the Series 22 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1989About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Abbott Sprague's CRS (Customer Relationship Summary).
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