John A. Conlon
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 Anthony Conlon, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
April 5, 2018 - December 31, 2022
PEOPLE'S UNITED ADVISORS, INC.
December 26, 2017 - March 31, 2020
PEOPLE'S SECURITIES, INC.
July 31, 2006 - December 31, 2008
SANDERS MORRIS LLC
July 1, 2002 - December 31, 2006
SMH CAPITAL ADVISORS LLC
July 1, 2000 - December 31, 2008
SANDERS MORRIS LLC
October 10, 1990 - July 1, 2000
BLACKFORD SECURITIES CORP.
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
April 26, 1988 - September 17, 1990
LIEBER & COMPANY
September 27, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
April 23, 1985 - September 18, 1986
DEUTSCHE BANK 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
Exams
Current Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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