John W. Mount
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 William Mount, who also goes by Jack Mount, John William Mount, John W Mount, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 8 firms and has passed the Series 63, SIE, Series 6, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - August 28, 2017
ADP BROKER-DEALER, INC.
September 22, 2006 - March 17, 2010
PERSHING LLC
May 27, 2005 - October 26, 2005
ADP BROKER-DEALER, INC.
August 25, 2004 - December 15, 2004
ALLSTATE FINANCIAL SERVICES, LLC
November 10, 2003 - July 9, 2004
NYLIFE DISTRIBUTORS LLC
January 22, 2003 - September 18, 2003
TD AMERITRADE, INC.
June 22, 1994 - August 7, 2001
SUMMIT EQUITIES, INC.
February 22, 1991 - August 2, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 22, 1991 - August 2, 1991
PRUCO SECURITIES, 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
Series 55
Date: 4/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
