John A. Conlon
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 Albert Conlon JR, who also goes by John Albert Colnlon Jr, Jack Conlon Jr, John Albert Conlon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 12 firms and has passed the Series 41, PC, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2011 - February 14, 2014
CLG INVESTMENT COMPANY, INC.
September 13, 2006 - May 18, 2009
FTN EQUITY CAPITAL MARKETS CORP.
January 21, 2004 - September 19, 2005
VARIANT TRADING INSTITUTIONAL GROUP, INC.
June 19, 2000 - September 2, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
October 1, 1997 - July 20, 1999
BANC OF AMERICA SECURITIES LLC
July 29, 1996 - October 1, 1997
MONTGOMERY SECURITIES
January 3, 1995 - February 2, 1996
GLEACHER & COMPANY SECURITIES, INC.
June 17, 1993 - July 30, 1993
ROTHSCHILD & CO US INC.
November 20, 1989 - May 17, 1993
ROTHSCHILD & CO US INC.
August 5, 1987 - November 6, 1989
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
December 21, 1978 - September 11, 1987
E. F. HUTTON & COMPANY INC
October 1, 1971 - August 12, 1978
CIBC WORLD MARKETS CORP.
December 29, 1969 - October 20, 1971
SINGER SECURITIES
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
Series 41
Date: 10/27/1983
NYSE Allied Member ExaminationPC
Date: 8/18/1977
AMEX Put and Call ExamSeries 000
Date: 4/4/1966
General Securities Principal ExaminationSeries 1
Date: 4/4/1966
Registered Representative ExaminationSeries 40
Date: 10/6/1969
Registered Principal ExaminationCurrent Firm
CLG INVESTMENT COMPANY, INC.
CRD#: 10141 / SEC#: , 8-27045
Contact information
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.
