John M. Donovan
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 Michael Donovan, who also goes by John M Donovan, John Donovan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2022 - May 2, 2025
STONEX FINANCIAL INC.
March 12, 2022 - December 2, 2022
R. SEELAUS & CO., LLC
November 12, 2019 - July 12, 2021
MESIROW FINANCIAL, INC.
January 4, 2019 - November 1, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
June 26, 2013 - October 31, 2018
DREXEL HAMILTON, LLC
October 9, 2012 - April 24, 2013
CANTOR FITZGERALD & CO.
May 13, 2009 - October 8, 2012
STERNE, AGEE & LEACH, INC.
November 4, 2008 - May 28, 2009
JANNEY MONTGOMERY SCOTT LLC
February 25, 2003 - September 24, 2008
PIPER SANDLER & CO.
May 1, 2001 - March 5, 2003
J.P. MORGAN SECURITIES INC.
January 15, 1995 - May 1, 2001
JPMSI
May 15, 1992 - November 2, 1994
LAZARD FRERES & CO. LLC
April 23, 1986 - June 5, 1992
CITICORP 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
