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JA

John L. Ashby

REVERE SECURITIES LLC
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 865060
JA

Professional summary

John Layton Ashby is a registered financial professional currently at REVERE SECURITIES LLC located in Boca Raton, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1979. John has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Layton Ashby's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 22, 2012 - Present

REVERE SECURITIES LLC

Office #1: 1900 Nw Corporate Blvd Suite W105, Boca Raton, FL 33431
BD
CRD#: 14178
BOCA RATON, FL
Past

July 29, 2010 - May 21, 2012

FINTEGRA, LLC

RIA
CRD#: 16741
BOCA RATON, FL
Past

July 13, 2010 - May 21, 2012

FINTEGRA, LLC

BD
CRD#: 16741
BOCA RATON, FL
Past

January 5, 2010 - July 7, 2010

JESUP & LAMONT SECURITIES CORP

RIA
CRD#: 39056
BOCA RATON, FL
Past

May 13, 2009 - July 7, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

August 26, 2005 - May 20, 2009

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
BOCA RATON, FL
Past

January 3, 2003 - May 20, 2009

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOCA RATON, FL
Past

June 10, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 30, 1994 - June 2, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 7, 1989 - July 7, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 19, 1988 - July 12, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 14, 1986 - August 13, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

August 9, 1984 - January 31, 1986

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
Past

May 24, 1982 - August 28, 1984

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

May 14, 1980 - June 5, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 1, 1979 - June 5, 1980

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(5/23/2012)
RR
Indiana
(5/23/2012)
RR
Ohio
(5/22/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/5/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1979
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REVERE SECURITIES LLC
ASR DIVISION OF TRACK SECURITIES CORP | TRACK SECURITIES CORP. | REVERE WEALTH MANAGEMENT LLC | REVERE SECURITIES LLC | REVERE SECURITIES CORP. | M-W SECURITIES CORP. | BRIARCLIFF CAPITAL CORP.

CRD#: 14178 / SEC#: , 8-30511

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
560 Lexington Avenue 16th Floor, New York, NY 10022
Mailing Address
560 Lexington Avenue 16th Floor, New York, NY 10022
Phone number
(212) 688-2350
Established
Delaware since 12/31/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
REVERE INVESTMENT HOLDINGS LLCSHAREHOLDER
BODKIN, GREGORY PATRICKCHIEF COMPLIANCE OFFICER3008389
FULLMAN, SCOTT HOWARDPRESIDENT / CHIEF OPERATIONS OFFICER1516584
MORENO, WILLIAM FRANCISCEO / EXECUTIVE CHAIRMAN2801621
ZULUAGA, OSEASCFO / FINOP4186791

Disclosures

Regulatory Event14
Arbitration3

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.

Company Information

REVERE SECURITIES LLC

CRD#: 14178Boca Raton, FL 33431

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