John L. Flood
Professional summary
John Lawrence Flood is a registered financial professional currently at EXCELSIOR EQUITIES located in Denver, Colorado.
John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Lawrence Flood's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2021 - Present
EXCELSIOR EQUITIES
Office #1: 6795 East Tennessee Avenue Suite 210, Denver, CO 80224Office #2: 6795 East Tennessee Avenue Suite 210, Denver, CO 80224August 23, 2002 - March 11, 2019
CRAIG-HALLUM CAPITAL GROUP LLC
February 25, 1998 - May 23, 2002
THINKEQUITY LLC
October 7, 1997 - April 6, 1998
MJK CLEARING, INC.
June 24, 1994 - October 8, 1997
COLLIERS SECURITIES LLC
July 17, 1989 - July 1, 1994
MJK CLEARING, INC.
April 6, 1987 - July 18, 1989
MCCLEES INVESTMENTS, INC.
September 13, 1985 - April 16, 1987
J.W. MCCLEES AND COMPANY, INC.
June 15, 1984 - September 6, 1985
PAGEL INC.
January 27, 1984 - June 7, 1984
AMERICAN FRONTEER FINANCIAL CORPORATION
September 7, 1983 - January 18, 1984
SUBURBAN SECURITIES, 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
(2/26/2021)
(2/25/2021)
(6/24/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
EXCELSIOR EQUITIES
CRD#: 309158 / SEC#: , 8-70533
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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