John M. Clancy
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 Michael Clancy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2014 - January 8, 2016
NATIONWIDE PLANNING ASSOCIATES INC.
July 11, 2013 - December 31, 2013
CADARET, GRANT & CO., INC.
November 6, 2008 - April 11, 2013
LPL FINANCIAL LLC
April 4, 2008 - October 23, 2008
WOODBURY FINANCIAL SERVICES, INC.
January 1, 2005 - November 19, 2007
HSBC SECURITIES (USA) INC.
January 7, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
February 7, 1997 - October 11, 2002
CHASE INVESTMENT SERVICES CORP.
April 13, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 13, 1992 - October 29, 1996
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
Current Firm
NATIONWIDE PLANNING ASSOCIATES INC.
CRD#: 31029 / SEC#: , 8-45310
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Bond | 1 |
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.
