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John M Gorman

Mainstreet Advisors

Cornelius, NC

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Current Employers
Mainstreet Advisors

120 N. Lasalle Street Suite 3300, Chicago, IL 60602-2424 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-01-31
  • IL RA
    APPROVED
    Since 2020-01-31

Branch Locations

Cornelius, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fintech Securities Atlanta GA 10/2013 05/2019
Mainstreet Investment Advisors, Llc Chicago IL 11/2019 Present
Capital Institutional Service, Inc. Dallas TX 02/2019 11/2019
  • 10/2013 → 05/2019
    Fintech Securities
    Atlanta, GA
  • 11/2019 → Present
    Mainstreet Investment Advisors, Llc
    Chicago, IL
  • 02/2019 → 11/2019
    Capital Institutional Service, Inc.
    Dallas, TX
Previous Registrations
  • 2010-09-24 → 2011-10-18
    Td Ameritrade, Inc.
    Charlotte, NC
  • 2010-09-23 → 2011-10-18
    Td Ameritrade Investment Management, Llc
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-01-31
S66 Uniform Combined State Law Examination 2010-09-01
  • S65 Uniform Investment Adviser Law Examination
    2020-01-31
  • S66 Uniform Combined State Law Examination
    2010-09-01
Other Names
  • John Michael Gorman

View on SEC IAPD

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