John Matthew Underation
Professional Summary
John Matthew Underation, who also goes by John M Underation, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 2001 - 2022. John had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John M Underation
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
MCDONALD MANAGEMENT LLC | THOMAS MCDONALD PARTNERS, LLC | THOMAS MCDONALD & ASSOCIATES LLC | THOMAS MCDONALD & ASSOCIATES | MPCF LLC | MPCF II LLC | MP127 LLC | MP DPI LLC | MCDONALD USAF GP LLC | MCDONALD PARTNERS LLC
Contact Information
Main Address
1301 East 9th Street Suite 3700, Cleveland, OH 44114Mailing Address
1301 East 9th Street Suite 3700, Cleveland, OH 44114Phone Number
(216) 912-0567Established
Ohio since 04/05/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
29SEC notice filing (42 States and Territories)
Registered to provide investment advisory services in 42 US states and territories.
FINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 42 US states and territories.
Documents
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 |
| NEMRY, RAFAT NAIN | OWNER | — |
| HEGARTY, WILLIAM MAURICE JR | CHIEF INVESTMENT OFFICER | 2784174 |
| MANSOUR, RITA | OWNER | 1968418 |
| MCARDLE, JOHN EDWARD III | OWNER | 5386698 |
| PALMER, JAIMIE MICHELLE | CHIEF COMPLIANCE OFFICER | 4930309 |
| YAKO, THOMAS ANTHONY | DIRECTOR | 3002163 |
Regulatory Assets Under Management
Total Number of Accounts
1,765AUM (Assets Under Management)
$1,279,273,513Disclosures
Regulatory Event
5Arbitration
1Accountant 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 |
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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.
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Primary Firm SEC Registration
MCDONALD MANAGEMENT LLC | THOMAS MCDONALD PARTNERS, LLC | THOMAS MCDONALD & ASSOCIATES LLC | THOMAS MCDONALD & ASSOCIATES | MPCF LLC | MPCF II LLC | MP127 LLC | MP DPI LLC | MCDONALD USAF GP LLC | MCDONALD PARTNERS LLC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2001About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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