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JM

John Francis Mahoney

CRD# 2198689·Registered 1995 - 2023
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 Francis Mahoney, who also goes by John F Mahoney, John Francis Mahoney Sr, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1995 - 2023. John had worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 3, 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

John F Mahoney, John Francis Mahoney Sr

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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

31 years in the financial services industry

Current & Past Employments

M MANAGEMENT ADVISORS LLC·CRD# 318248
RIA
Lavallette, NJ
February 10, 2022 - October 20, 2023
CLEARLIST SECURITIES LLC·CRD# 309455
BD
New York, NY
January 27, 2022 - July 13, 2022
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Wall, NJ
October 9, 2018 - February 24, 2020
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Wall, NJ
October 1, 2018 - February 24, 2020
NANTX GLOBAL CAPITAL, LLC·CRD# 147798
BD
New York, NY
November 9, 2017 - March 26, 2018
LCM CAPITAL MANAGEMENT INC·CRD# 111074
RIA
Chicago, IL
August 21, 2015 - October 9, 2018
ADVANTAGE SECURITIES LLC·CRD# 39362
BD
Chicago, IL
April 25, 2014 - September 18, 2017
1ST WORLDWIDE ADVISORS, LLC.·CRD# 133225
RIA
New York, NY
January 5, 2009 - August 29, 2013
1ST WORLDWIDE FINANCIAL PARTNERS, LLC·CRD# 132038
BD
Lavallette, NJ
November 26, 2004 - October 28, 2013
MIZUHO SECURITIES USA LLC·CRD# 19647
BD
New York, NY
July 20, 1998 - January 26, 1999
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
September 5, 1995 - June 22, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 1, 1995 - October 18, 1995

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Current Firm

MM
M MANAGEMENT ADVISORS LLC

M MANAGEMENT ADVISORS LLC

CRD#: 318248

Contact Information

Main Address

Lavallette, NJ

Phone Number

(609) 731-7769

# of Employees

1

Documents

Latest Form ADV

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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.

01/2000-present, Non-investment related, M Management Group, Inc., Consultant, 3580 Ocean Terrace, Lavallette, NJ 08735, general business consulting - 2 hrs/month. 10/2002-present, Non-investment related, Adjunct Professor New York University- Stern School Of Business, less than 10 hrs/month. 01/01/2002-present, Non-investment related, Vice Chairman, Rising Tide Capital, charity, 384 Martin Luther King Dr., Jersey City, NJ, 10 hrs/month.

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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 66 — Uniform Combined State Law Examination

Passed Dec 2008About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1996About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Mar 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2017About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2004About 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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