John M. Underation

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CRD#: 4273996

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 Matthew Underation, who also goes by John M Underation, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2001. John had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John M Underation

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Slovak Catholic Sokols (Fraternal Benefit Society), officer of the Supreme Assembly with the title of Supreme Physical Director (direction of the annual sporting programs), began 01/2011, no time during trading hours, after business hours approx. 0.5hrs, minimal compensation; Cub Scout Pack 159, organize and lead scout activities, volunteer position, 3 hours per week; Mr. Underation is a licensed insurance agent for variable annuity, life, accident, and health insurance. He does not currently conduct any sales activity and does not earn commissions related to the sale of insurance.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 18, 2017 - May 3, 2022

MCDONALD PARTNERS LLC

RIA

CRD#: 135414

CLEVELAND, OH

Past

October 18, 2017 - May 3, 2022

MCDONALD PARTNERS LLC

CRD#: 135414

CLEVELAND, OH

Past

June 1, 2009 - November 1, 2017

MORGAN STANLEY

RIA

CRD#: 149777

CLEVELAND, OH

Past

June 1, 2009 - November 1, 2017

MORGAN STANLEY

CRD#: 149777

CLEVELAND, OH

Past

June 2, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CLEVELAND, OH

Past

May 30, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CLEVELAND, OH

Past

December 21, 2005 - June 13, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CLEVELAND, OH

Past

September 19, 2005 - June 13, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CLEVELAND, OH

Past

January 1, 2004 - September 20, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 15, 2001 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCDONALD PARTNERS LLC

CRD#: 135414 / SEC#: 801-64294, 8-66985

RIA

Registered Investment Advisory firm - SEC (5/6/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/20/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MCDONALD PARTNERS LLC

CRD#: 135414 / SEC#: 801-64294, 8-66985

RIA

Registered Investment Advisory firm - SEC (5/6/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1301 East 9th Street Suite 3700, Cleveland, OH 44114

Mailing Address

1301 East 9th Street Suite 3700, Cleveland, OH 44114

Phone number

(216) 912-0567

Established

Ohio since 04/05/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (42 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MDP FORM ADV 2A 8-25-2025 (9/2/2025)

MDP WRAP PROGRAM BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
MCDONALD, THOMAS MARION	OWNER	326904
MCDONALD, ARNOLD BEATTY	FINANCIAL & OPERATIONS PRINCIPAL	5126644
MCDONALD, ARNOLD BEATTY	CEO/CFO/MUNI PRINCIPAL/OWNER	5126644
MCDONALD, BRIAN ANDREW	OWNER	3037343
RAFAT NAIN NEMRY	OWNER
HARTZLER, JONATHAN DANIEL	CHIEF COMPLIANCE OFFICER	5163442
HEGARTY, WILLIAM MAURICE JR	CHIEF INVESTMENT OFFICER	2784174
MANSOUR, RITA	OWNER	1968418
MCARDLE, JOHN EDWARD III	OWNER	5386698
NORTON, TIMOTHY PATRICK	OWNER	726982

Regulatory assets under management

Total Number of Accounts	2,024
AUM (Assets Under Management)	$ 1,287,456,830

Disclosures

Regulatory Event	5
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/02/2025	Cover Page	Report
10/02/2025	Cover Page	Report
01/06/2025	Cover Page	Report
01/06/2025	Cover Page	Report
09/18/2023	Cover Page	Report
09/18/2023	Cover Page	Report
01/04/2023	Cover Page	Report
01/04/2023	Cover Page	Report

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.

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Firm Stability Insights

John M. Underation

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCDONALD PARTNERS LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

Primary Firm SEC Registration

MCDONALD PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2005

Series 6

Date: 8/14/2001

Current Firm

MCDONALD PARTNERS LLC

Contact information

SEC notice filing (42 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MCDONALD PARTNERS LLC

TRUST BUT VERIFY

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