John M. Mccague
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 Mccague was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 52 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - July 9, 2018
ROSENBLATT SECURITIES INC.
February 1, 2010 - April 22, 2015
RAVEN SECURITIES CORP.
November 24, 2008 - February 1, 2010
DASH FINANCIAL TECHNOLOGIES LLC
May 16, 2005 - March 27, 2007
LEK SECURITIES CORPORATION
October 14, 2004 - May 19, 2009
G.P. SECURITIES CORP.
April 26, 2004 - May 24, 2005
HEATHCLIFF BROKERAGE, L.L.C.
January 29, 2004 - August 2, 2004
G.P. SECURITIES CORP.
August 31, 1999 - November 13, 2000
SHARPE CAPITAL, INC.
March 17, 1999 - September 13, 1999
CITICORP INVESTMENT SERVICES
February 14, 1997 - February 19, 1999
MORGAN STANLEY DW INC.
October 29, 1996 - January 14, 1997
AMERIPRISE ADVISOR SERVICES, INC.
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 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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