Johnny A. Mora
Professional summary
Johnny Alberto Mora was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Johnny is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Johnny had worked at 1 firm, which includes SAN CLEMENTE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 1997 - October 12, 1999
SAN CLEMENTE SECURITIES, 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
Current Firm
SAN CLEMENTE SECURITIES, INC.
CRD#: 21895 / SEC#: , 8-39369
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Arbitration | 4 |
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.
