John J. Mandy
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 Joseph Mandy, who also goes by John Joseph Mandy Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the 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
September 14, 2020 - July 14, 2022
LOOP CAPITAL MARKETS LLC
March 22, 2019 - July 31, 2020
MFR SECURITIES, INC.
January 17, 2018 - May 15, 2018
FIRST EMPIRE SECURITIES, INC.
May 1, 2000 - January 9, 2018
R.W.PRESSPRICH & CO.
April 14, 1997 - March 9, 2000
COWEN AND COMPANY
July 14, 1988 - April 14, 1997
UBS SECURITIES LLC
July 27, 1987 - March 19, 1988
E. F. HUTTON & COMPANY INC
December 21, 1983 - March 21, 1984
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
