John K. Mathis
Professional summary
John Kenneth Mathis is a registered financial professional currently at HARBOR VIEW ADVISORS, LLC located in Neptune Beach, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 62, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Kenneth Mathis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2010 - Present
HARBOR VIEW ADVISORS, LLC
Office #1: 310 3rd Street Suite 201, Neptune Beach, FL 32266July 7, 2000 - July 7, 2003
GOLDMAN SACHS & CO. 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
(11/15/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
HARBOR VIEW ADVISORS, LLC
CRD#: 151817 / SEC#: , 8-68401
Contact information
FINRA licenses (6 States and Territories)
Documents
Red Flags
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Company Information
HARBOR VIEW ADVISORS, LLC
CRD#: 151817Neptune Beach, FL 32266TRUST BUT VERIFY
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