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JM

John Francis Mather

CRD# 1144495·Registered 1983 - 1990
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Francis Mather was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1983 - 1990. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

43 years in the financial services industry

Current & Past Employments

L.M. DREW & ASSOCIATES·CRD# 16368
BD
September 18, 1989 - May 16, 1990
FIRM ONE SECURITIES, INCORPORATED·CRD# 13531
BD
August 4, 1989 - October 30, 1989
GRAYSTONE NASH, INC.·CRD# 10635
BD
May 23, 1988 - December 20, 1988
GRAYSTONE NASH, INC.·CRD# 10635
BD
May 14, 1986 - February 18, 1987
WEAVER JOHNSON & COMPANY,INC.·CRD# 14442
BD
December 13, 1985 - January 28, 1986
FIRST JERSEY SECURITIES, INC.·CRD# 6621
BD
July 21, 1983 - November 18, 1985

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Current Firm

LD
L.M. DREW & ASSOCIATES

L.M. DREW & ASSOCIATES | WEST COAST SECURTIES, INC. | WEST COAST SECURITIES, LTD.

CRD#: 16368 / SEC#: 8-33827
BD
Cancelled by FINRA on 09/13/1991

Contact Information

Established

Nevada since 03/26/1990

Firm Type

Corporation

Fiscal Year End

January

Documents

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM
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