John H. Donovan
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 Harrington Donovan IV, who also goes by John H Donovan IV, John Harrington Donovan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2004 - April 27, 2023
CAPITAL CLIENT GROUP, INC.
April 13, 2004 - June 4, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 13, 2004 - June 4, 2004
NYLIFE DISTRIBUTORS LLC
February 28, 2003 - October 21, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
September 11, 2000 - October 21, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 18, 1999 - February 24, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 24, 1999 - September 17, 1999
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
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
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
