John L. Ashby
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 Layton Ashby was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2012 - July 1, 2026
REVERE SECURITIES LLC
July 29, 2010 - May 21, 2012
FINTEGRA, LLC
July 13, 2010 - May 21, 2012
FINTEGRA, LLC
January 5, 2010 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
May 13, 2009 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
August 26, 2005 - May 20, 2009
OPPENHEIMER & CO. INC.
January 3, 2003 - May 20, 2009
OPPENHEIMER & CO. INC.
June 10, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
June 30, 1994 - June 2, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1989 - July 7, 1994
CITIGROUP GLOBAL MARKETS INC.
February 19, 1988 - July 12, 1989
UBS FINANCIAL SERVICES INC.
February 14, 1986 - August 13, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
August 9, 1984 - January 31, 1986
JW GENESIS CLEARING CORP.
May 24, 1982 - August 28, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
May 14, 1980 - June 5, 1982
MORGAN STANLEY DW INC.
May 1, 1979 - June 5, 1980
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
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