John J. Donohue
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 Donohue, who also goes by John J Donohue, John Joseph Donohue, John Donohue, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 13 firms and has passed the Series 63, Series 65, Series 52TO, Series 82TO, Series 99TO, SIE, Series 7, Series 12, Series 14A, Series 14, Series 27, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2021 - April 6, 2023
PROFINANCIAL, INC.
January 28, 2019 - June 2, 2020
M&T SECURITIES, INC.
May 9, 2015 - April 24, 2017
CHESTERBROOK CAPITAL
October 30, 2013 - November 15, 2013
EPOCH SECURITIES, INC.
May 7, 2013 - November 5, 2013
RSP INVESTMENTS, LLC
April 13, 2009 - November 28, 2011
FIS BROKERAGE & SECURITIES SERVICES LLC
February 2, 2006 - December 19, 2006
SUNGARD GLOBAL EXECUTION SERVICES LLC
August 31, 2004 - September 9, 2005
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC
February 24, 2004 - September 16, 2005
TD ARRANGED SERVICES LLC
July 11, 2003 - April 11, 2006
LABRANCHE STRUCTURED PRODUCTS DIRECT
December 23, 1999 - May 23, 2002
PREFERREDTRADE, INC.
October 13, 1998 - October 8, 1999
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 9, 1997 - April 15, 1998
NATIONAL FINANCIAL SERVICES LLC
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 ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 12
Date: 6/29/2005
NYSE Branch Manager ExaminationSeries 14A
Date: 3/31/2004
Compliance Official Specialist ExamSeries 8
Date: 8/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PROFINANCIAL, INC.
CRD#: 15345 / SEC#: , 8-32026
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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