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JC

John M. Conway

SUSQUEHANNA SECURITIES
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 1619595
JC

Professional summary

John Mark Conway, who also goes by John Mark Conway, is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 5 firms and has passed the Series 63, Series 57TO, Series 34, Series 3, Series 7TO, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Mark Conway

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Mark Conway's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 23, 2022 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 175 W Jackson Blvd. Suite 1700, Chicago, IL 60604
BD
CRD#: 35874
Chicago, IL
Past

February 14, 2020 - March 24, 2022

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

March 14, 2011 - September 16, 2013

CMZ TRADING, LLC

BD
CRD#: 132051
CHICAGO, IL
Past

March 22, 2005 - February 17, 2009

RONIN CAPITAL, LLC

BD
CRD#: 118428
CHICAGO, IL
Past

September 7, 2001 - October 17, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 5/7/2022
Securities Trader Exam
General Industry/Product Exam
RR
Series 34
Date: 11/8/2021
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 3/25/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 12/11/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/6/2001
General Securities Representative Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SS
SUSQUEHANNA SECURITIES, LLC
SUSQUEHANNA SECURITIES | SUSQUEHANNA SECURITIES, LLC

CRD#: 35874 / SEC#: , 8-47034

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-2600
Established
Delaware since 08/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SSUS HOLDINGS, LLCMEMBER
DOHERTY, MICHAEL PATRICKCHIEF COMPLIANCE OFFICER703900
FERNANDEZ, ALEJANDROPRESIDENT4552870
JAMACA, MELISSAFINOP7478107
SIMPSON, MICHAEL ROBERTPOO7521292

Disclosures

Regulatory Event60

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.

Company Information

SUSQUEHANNA SECURITIES, LLC

CRD#: 35874Chicago, IL 60604

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