John P. Mottes
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 Philip Mottes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 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
October 10, 2013 - June 25, 2014
RAPTORNET
September 27, 2011 - October 24, 2014
MISMI, INC.
July 1, 1998 - March 31, 2011
COWEN AND COMPANY
May 30, 1991 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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 55
Date: 12/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
RAPTORNET
CRD#: 154432 / SEC#: , 8-68638
Contact information
Documents
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.
