John J. Mcgough
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 Mcgough JR, who also goes by John Mcgough, John J. Mcgough Jr., John Joseph Mcgough, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 12 firms and has passed the Series 63, Series 72, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2018 - September 11, 2024
STONEX FINANCIAL INC.
November 19, 2013 - June 2, 2016
MKM PARTNERS LLC
April 4, 2011 - November 20, 2013
JONESTRADING
October 7, 2008 - February 17, 2011
BTIG, LLC
April 4, 2006 - October 6, 2008
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
January 29, 2003 - April 6, 2006
PRUDENTIAL EQUITY GROUP, LLC
January 30, 2002 - November 22, 2002
INET ATS, INC.
January 16, 2001 - November 22, 2002
NASDAQ CAPITAL MARKETS ADVISORY LLC
March 18, 1997 - January 12, 2001
STANDARD & POOR'S SECURITIES, INC.
October 4, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 4, 1989 - August 29, 1996
PRUCO SECURITIES, LLC.
April 27, 1989 - September 11, 1989
CITICORP SECURITIES, INC.
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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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