John M. Mcgivney
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 Michael Mcgivney was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 16 firms and has passed the Series 63, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - November 13, 2009
MUTUAL SERVICE CORPORATION
September 15, 2009 - April 25, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
September 8, 2009 - December 31, 2010
LPL FINANCIAL LLC
September 8, 2009 - March 25, 2014
LPL FINANCIAL LLC
July 29, 2009 - September 8, 2009
MUTUAL SERVICE CORPORATION
February 23, 2009 - September 8, 2009
MUTUAL SERVICE CORPORATION
August 19, 2008 - February 27, 2009
ASSOCIATED SECURITIES CORP.
November 9, 2007 - February 27, 2009
ASSOCIATED SECURITIES CORP.
November 22, 2006 - April 10, 2007
NEXT FINANCIAL GROUP, INC.
November 19, 2003 - November 17, 2006
KESTRA INVESTMENT SERVICES, LLC
October 10, 2002 - January 22, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 20, 2000 - August 27, 2002
ADVANTAGE CAPITAL CORPORATION
October 14, 1999 - April 3, 2000
SPECIALIZED INVESTMENTS DIVISION
October 16, 1998 - August 27, 2002
FSC SECURITIES CORPORATION
October 3, 1994 - January 5, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 23, 1991 - August 20, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 12, 1989 - December 2, 1989
IDS LIFE INSURANCE COMPANY
October 12, 1989 - December 2, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 1984 - October 5, 1989
JOHN M. MCGIVNEY SECURITIES, INC.
May 11, 1983 - June 5, 1984
BRETCOURT SECURITIES CORPORATION
July 29, 1981 - April 8, 1982
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
