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JE

John Mark Enriquez

CRD# 2925288·Registered 1998 - 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 Mark Enriquez was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1998 - 2023. John had worked at 4 firms and has passed the Series 63, Series 3, Series 57TO, Series 7TO, Series 55, Series 7, Series 24 and Series 4 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

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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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

28 years in the financial services industry

Current & Past Employments

ATREYU TRADING·CRD# 175371
BD
Boston,, MA
August 24, 2021 - September 11, 2023
AXIOM CAPITAL MANAGEMENT, INC.·CRD# 26580
BD
New York, NY
October 28, 2013 - January 27, 2014
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC·CRD# 30107
BD
Boston, MA
November 14, 2011 - December 2, 2011
PULSE TRADING, INC.·CRD# 104022
BD
Boston, MA
July 12, 2000 - November 14, 2011
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC·CRD# 30107
BD
Boston, MA
January 1, 1998 - April 19, 2000

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Current Firm

AT
ATREYU TRADING

ATREYU GROUP LLC | ATREYU TRADING

CRD#: 175371 / SEC#: 8-69593
BD
Terminated by SEC on 11/15/2024

Contact Information

Established

Delaware since 12/18/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ATREYU GROUP HOLDINGS CORPORATIONMEMBER—
BRANT, DAVID ROBERTFINOP2718478
CARROLL, KEVIN JAMESCHIEF OPERATING OFFICER2227916
MARTEL, LAWRENCE GILBERTCHIEF EXECUTIVE OFFICER, CCO AND AML2177025

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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.

The advisor shows no other business activity.

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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 63 — Uniform Securities Agent State Law Examination

Passed Sep 2021About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 2023About the Series 3 exam

Series 57TO — Securities Trader Exam

Passed Mar 2022About the Series 57TO exam

Series 7TO — General Securities Representative Examination

Passed Aug 2021About the Series 7TO exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Aug 1998

Series 7 — General Securities Representative Examination

Passed Dec 1997About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2022About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jan 2022About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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