John A. Mcgrory
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 Anthony Mcgrory, who also goes by John A Mcgrory, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 63, SIE, Series 6TO, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2023 - November 17, 2023
ALLSTATE FINANCIAL SERVICES, LLC
January 12, 2015 - December 18, 2015
OSAIC FS, INC.
August 31, 2013 - January 3, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
October 23, 2012 - March 14, 2013
BOUSTEAD SECURITIES, LLC
July 29, 2004 - September 26, 2012
ROTH CAPITAL PARTNERS, LLC
June 3, 2002 - July 30, 2004
THE SEIDLER COMPANIES INCORPORATED
January 2, 2002 - May 20, 2002
ROTH CAPITAL PARTNERS, LLC
January 5, 2001 - July 9, 2001
UBS SECURITIES LLC
March 16, 1999 - December 4, 2000
ROTH CAPITAL PARTNERS, LLC
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 6TO
Date: 5/16/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 2/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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