John H. Mannen
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 Hammer Mannen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 31 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2021 - June 17, 2024
CADARET, GRANT & CO., INC.
April 7, 2021 - June 17, 2024
CADARET, GRANT & CO., INC.
March 2, 2018 - July 1, 2024
CEDAR BROOK GROUP
August 1, 2005 - April 13, 2021
SECURITIES AMERICA ADVISORS, INC.
July 15, 2005 - April 13, 2021
SECURITIES AMERICA, INC.
January 1, 2000 - July 20, 2005
OSAIC FA, INC.
November 19, 1989 - March 15, 1990
OSAIC WEALTH, INC.
March 30, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 20, 1969 - July 20, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 20, 1969 - July 20, 2005
OSAIC FA, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/16/1969
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
