John J. Mcguinness
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 J Mcguinness III, who also goes by John Joseph Mcguinness III, John Joseph Mcguinness, John Mcguinness, John J Mcguinness, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2019 - August 8, 2023
SVB WEALTH
March 28, 2017 - September 16, 2019
CITI PRIVATE ALTERNATIVES, LLC
June 23, 2010 - September 16, 2019
CITIGROUP GLOBAL MARKETS INC.
June 18, 2010 - September 16, 2019
CITIGROUP GLOBAL MARKETS INC.
October 23, 2009 - June 10, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 10, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 2, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 9, 2002 - April 7, 2003
PNC CAPITAL MARKETS LLC
March 16, 2001 - March 14, 2002
BNY INVESTMENT CENTER INC.
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
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
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
