John P. Shupe
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 P Shupe, who also goes by John Philip Shupe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 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
March 23, 2012 - June 27, 2018
MMC SECURITIES LLC
January 5, 2011 - November 1, 2011
MMC SECURITIES LLC
July 26, 2010 - December 31, 2010
MMC SECURITIES LLC
May 22, 2006 - June 25, 2010
DWS DISTRIBUTORS, INC.
January 9, 2002 - May 17, 2006
VOYA RETIREMENT ADVISORS, LLC
August 31, 2000 - December 31, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
February 16, 1998 - July 26, 1999
BANKBOSTON INVESTOR SERVICES, INC.
March 31, 1992 - January 9, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
January 28, 1991 - March 27, 1992
FIDELITY BROKERAGE SERVICES 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
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
