John T. Draiss
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 Thomas Draiss II, who also goes by John Thomas Draiss, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2014 - November 21, 2014
MARV CAPITAL INC.
March 21, 2011 - June 2, 2014
HILLTOP SECURITIES INC.
December 6, 2002 - May 24, 2004
MERCER ALLIED COMPANY, L.P.
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
MARV CAPITAL INC.
CRD#: 104390 / SEC#: , 8-52855
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
