John M. Conway
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 Mark Conway, who also goes by John Mark Conway, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 5 firms and has passed the Series 63, Series 57TO, Series 34, Series 3, Series 7TO, Series 55 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
March 23, 2022 - February 17, 2026
SUSQUEHANNA SECURITIES, LLC
February 14, 2020 - March 24, 2022
TD AMERITRADE, INC.
March 14, 2011 - September 16, 2013
CMZ TRADING, LLC
March 22, 2005 - February 17, 2009
RONIN CAPITAL, LLC
September 7, 2001 - October 17, 2003
J.P. MORGAN SECURITIES 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 57TO
Date: 5/7/2022
Securities Trader ExamSeries 7TO
Date: 2/13/2020
General Securities Representative ExaminationSeries 55
Date: 12/11/2001
Limited Representative-Equity Trader ExamCurrent Firm
SUSQUEHANNA SECURITIES, LLC
CRD#: 35874 / SEC#: , 8-47034
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 60 |
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.
