John B. Mccloskey
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 Brooks Mccloskey, who also goes by John Brooks Mccloskey Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 5 firms and has passed the Series 65, Series 63 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
February 13, 2015 - July 31, 2015
MUTUAL TRUST ASSET MGMT., INC.
November 1, 2013 - November 21, 2014
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 1, 1994 - June 27, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 13, 1993 - August 24, 1994
METROPOLITAN LIFE INSURANCE COMPANY
September 13, 1993 - August 24, 1994
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
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
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 57,396,568 |
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.
