John D. Jeffries

M3 ADVISORY GROUP

Needham Heights, MA 02494

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CRD#: 1332202

Professional summary

John Daniel Jeffries, who also goes by John D Jeffries, is a registered financial advisor currently at M3 ADVISORY GROUP, LLC located in Needham Heights, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John D Jeffries

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.

1. M3 ADVISORY GROUP LLC,9 MEETING HOUSE HILL RD DOVER,MA 02030-IAR/MANAGING DIRECTOR , 11/2010, INVESTMENT RELATED, FINANCIAL SERVICES, 50 HRS/WEEK 2. TRUSTEE FOR THE PRATT FAMILY TRUST.NOT-INVESTMENT RELATED,10 HOURS/WEEK 3. THE COTTAGE, 190 LINDEN ST, WELLESLEY MA, INVESTOR, NO DUTIES, 11/2010. 4. MARK SCIANTI- 1985 JOINT SALES OF LIFE INSURANCE, BROOK STREET, WELLESLY MA. NOT INVESTMENT RELATED, INDLUCES NYLIFE (03/2009) 10 HRS PER MONTH. 5. M3 EQUITY ADVISORS LLC, 9 MEETING HOUSE HILL RD, DOVER MA 02030-MANAGING DIRECTOR, OWNER, INVESTMENT RELATED, LIFE, HEALTH, DISABILITY, ANNUITY, 120HRS PM. 6. MOBIEUS SYSTEMS, 470 ATLANTIC AVE BOSTON MA 02210-BOARD OF DIRECTOR, 10 HRS/WEEK 7. TOWN OF DOVER, NON INVEST. RELATED; DOVER, MA; SELECTMAN; 4 HRS/MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Daniel Jeffries's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 11, 2011 - Present

M3 ADVISORY GROUP, LLC

Office #1: 60 Kendrick Street Suite 203, Needham Heights, MA 02494

RIA

CRD#: 156208

Needham Heights, MA

Past

May 14, 2015 - December 7, 2016

FUSION ANALYTICS SECURITIES LLC

CRD#: 124245

CORAL SPRINGS, FL

Past

December 20, 2012 - June 9, 2014

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, CT

Past

August 3, 2011 - August 31, 2012

MUTUAL SECURITIES, INC.

CRD#: 13092

CONCORD, MA

Past

March 16, 2011 - August 2, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

DOVER, MA

Past

February 7, 2007 - March 11, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

WILMINGTON, MA

Past

December 18, 2006 - March 11, 2011

LPL FINANCIAL LLC

CRD#: 6413

WILMINGTON, MA

Past

August 2, 2006 - January 3, 2007

CR BROKER SERVICES, LLC

CRD#: 45753

WARWICK, RI

Past

January 31, 2003 - March 5, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 4, 1985 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 4, 1985 - July 24, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

M3 ADVISORY GROUP, LLC

M3 ADVISORY GROUP, LLC | M3 FAMILY OFFICE LLC

CRD#: 156208 / SEC#: 801-120905

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Arizona

Registered Investment Advisory firm - (11/13/2017 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/16/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/11/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/5/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/1/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

M3 ADVISORY GROUP, LLC

M3 ADVISORY GROUP, LLC | M3 FAMILY OFFICE LLC

CRD#: 156208 / SEC#: 801-120905

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Arizona

Registered Investment Advisory firm - (11/13/2017 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/16/2021 Terminated)

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Contact information

Main Address

60 Kendrick Street Suite 203, Needham Heights, MA 02494

Mailing Address

Phone number

(781) 371-2670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M3 DISCLOSURE BROCHURE AND SUPPLEMENTS (1/30/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 310,000,000

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.

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John D. Jeffries

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Daniel Jeffries's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUSION ANALYTICS SECURITIES LLC

HERBERT J. SIMS & CO, INC.

MUTUAL SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CR BROKER SERVICES, LLC

LPL FINANCIAL LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

M3 ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2007

Series 63

Date: 9/8/2006

SIE

Date: 12/7/2016

Series 7

Date: 2/18/2010

Series 6

Date: 8/1/2006

Current Firm

M3 ADVISORY GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

M3 ADVISORY GROUP, LLC

TRUST BUT VERIFY

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