John J. 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 Joseph Conlon III, who also goes by Jay Conlon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63 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
October 11, 1995 - January 11, 1996
MARKETING ONE SECURITIES, INC.
March 19, 1992 - October 18, 1995
JOSEPHTHAL & CO., INC.
September 1, 1989 - September 25, 1989
COBURN & MEREDITH, INC.
July 21, 1989 - September 19, 1989
LEHMAN BROTHERS INC.
October 29, 1987 - July 26, 1989
UBS FINANCIAL SERVICES INC.
September 26, 1986 - November 16, 1987
MOSELEY SECURITIES CORPORATION
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
MARKETING ONE SECURITIES, INC.
CRD#: 16611 / SEC#: , 8-34263
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARKETING ONE, INC. | OWNER | |
| ANDRE, LESLIE ELAINE | VP / DIRECTOR OF COMPLIANCE | 712461 |
| BOWER, JOHN CARROLL | DIRECTOR | 1466042 |
| HILLIKER, JAMES RICHARD | OPS/SROP/PRINCIPAL/VP | 874277 |
| MARSH, RONALD STEVEN | CROP | 2241694 |
| NIPOTI, PETER EDWARD | PRESIDENT / DIRECTOR | 2462962 |
| SILVERMAN, SCOTT | DIRECTOR | 3265096 |
| TEMPLE, DOUGLAS M | FIN OP/VP/TREASURER/ASST. SEC. | 2682868 |
Disclosures
| Regulatory Event | 5 |
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.
