John J. Flood
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 Flood was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2020 - June 16, 2026
J.P. MORGAN SECURITIES LLC
October 19, 2020 - June 16, 2026
J.P. MORGAN SECURITIES LLC
March 27, 2020 - October 9, 2020
MUTUAL ADVISORS, LLC
March 27, 2020 - October 9, 2020
MUTUAL SECURITIES, INC.
March 16, 2018 - March 29, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 15, 2018 - March 29, 2018
TD AMERITRADE, INC.
February 26, 2018 - March 29, 2018
TD AMERITRADE, INC.
March 14, 2016 - March 24, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 9, 2015 - February 26, 2018
SCOTTRADE, INC.
August 13, 2012 - June 11, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 13, 2012 - June 11, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2009 - February 14, 2012
TD AMERITRADE, INC.
April 23, 2009 - February 14, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 23, 2009 - February 14, 2012
TD AMERITRADE, INC.
October 31, 1995 - November 24, 2008
STRATEGIC ADVISERS LLC
May 18, 1987 - November 24, 2008
FIDELITY BROKERAGE SERVICES LLC
September 29, 1986 - January 1, 1987
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 8
Date: 8/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
