John J. Kiernan
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 Kiernan JR, who also goes by John Joseph Kieman Jr, John J Kiernan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
July 8, 2015 - December 31, 2017
MISCHLER FINANCIAL GROUP, INC.
August 30, 2011 - July 19, 2013
STONECASTLE SECURITIES, LLC
February 4, 2010 - May 3, 2011
AURIGA USA, LLC
August 18, 2009 - December 4, 2009
GUGGENHEIM SECURITIES, LLC
July 5, 2007 - April 6, 2009
DEUTSCHE BANK SECURITIES INC.
July 8, 2005 - July 3, 2007
SWISS RE CAPITAL MARKETS CORPORATION
October 16, 2003 - May 17, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
July 22, 1998 - December 12, 2002
LEHMAN BROTHERS INC.
May 26, 1992 - April 1, 1998
PERSHING 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
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
