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JM

John Philip Mottes

CRD# 2114090·Registered 1991 - 2014
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Philip Mottes was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1991 - 2014. John had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

RAPTORNET·CRD# 154432
BD
New York, NY
October 10, 2013 - June 25, 2014
MISMI, INC.·CRD# 147058
BD
New York, NY
September 27, 2011 - October 24, 2014
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
July 1, 1998 - March 31, 2011
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
May 30, 1991 - July 1, 1998

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Current Firm

RA
RAPTORNET

RAPTORNET | RAPTORNET, LLC

CRD#: 154432 / SEC#: 8-68638
BD
Terminated by SEC on 08/17/2014

Contact Information

Established

Delaware since 12/31/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RAPTOR TRADING SYSTEMS, INC.MANAGING MEMBER—
BEATON, DANIEL STEWARTFINOP4240769
SCHNEID, JARED DAVIDCHIEF COMPLIANCE OFFICER, CEO, ER850418

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2014About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Dec 1999

Series 7 — General Securities Representative Examination

Passed Apr 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM
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