John L. Mannix
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 Leonard Mannix was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 12 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2024 - October 29, 2024
HARMONY WEALTH PARTNERS
November 4, 2015 - March 14, 2024
BALDWIN WEALTH PARTNERS, LLC
September 17, 2014 - September 4, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 10, 2006 - September 16, 2010
DAKOTA WEALTH, LLC
June 19, 2006 - October 13, 2006
KAIZAN CAPITAL CORP.
May 30, 2000 - February 2, 2004
GUGGENHEIM DISTRIBUTORS, LLC
May 13, 1999 - February 23, 2000
STRONG INVESTMENTS, INC.
January 15, 1999 - May 12, 1999
SCUDDER FINANCIAL SERVICES, INC.
November 17, 1998 - May 12, 1999
DEAM INVESTOR SERVICES, INC.
January 20, 1992 - January 8, 1998
FIDELITY BROKERAGE SERVICES LLC
September 6, 1991 - January 2, 1992
IDS LIFE INSURANCE COMPANY
September 6, 1991 - January 2, 1992
AMERIPRISE FINANCIAL 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
Series 8
Date: 3/8/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HARMONY WEALTH PARTNERS
CRD#: 330544 / SEC#: 801-130381
Contact information
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 48,129,695 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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