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JM

Juan E. Mondragon

THE SPARTAN GROUP
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 2744207
JM

Professional summary

Juan Enrique Mondragon, who also goes by Juan Enrique Mondragon-pereda, is a registered financial professional currently at THE SPARTAN GROUP located in Pasadena, California.

Juan is registered as a RR (Registered Representative) and started their career in finance in 2002. Juan has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Juan Enrique Mondragon-Pereda

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juan Enrique Mondragon's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 9, 2004 - Present

THE SPARTAN GROUP

Office #1: 16 N. Marengo, Suite #307, Pasadena, CA 91101Office #2: 16 N. Marengo, Suite #307, Pasadena, CA 91101
BD
CRD#: 124430
Pasadena, CA
Past

May 22, 2002 - March 4, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/9/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THE SPARTAN GROUP
THE SPARTAN GROUP

CRD#: 124430 / SEC#: , 8-65674

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Mailing Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Phone number
(626) 204-6380
Established
California since 10/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JOHNSON, JOHN ORVILLEFOUNDING MEMBER3167704
MORGAN, PETER DAWSONFOUNDING MEMBER, CCO, AMLCO1264882
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

THE SPARTAN GROUP

CRD#: 124430Pasadena, CA 91101

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