John L. Mielke
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 Louis Mielke, who also goes by John Louis Mielke, John Mielke, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2018 - May 26, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
August 23, 2010 - February 23, 2018
NORTHSTAR SECURITIES, LLC
June 10, 2009 - August 23, 2010
CHASE INVESTMENT SERVICES CORP.
June 9, 2009 - August 23, 2010
CHASE INVESTMENT SERVICES CORP.
September 11, 2007 - May 13, 2009
EQUITABLE DISTRIBUTORS, LLC
September 27, 2006 - July 23, 2007
COUNTRY TRUST BANK
August 29, 2006 - July 23, 2007
COUNTRY CAPITAL MANAGEMENT COMPANY
October 15, 2003 - June 17, 2004
MORGAN STANLEY DW INC.
October 14, 2002 - September 3, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
