JE
John M. English
INNOVATIVE ADVISORY GROUP
Nyack, NY
Some features on this profile are disabled
CRD#: 5974241
JE
Professional summary
John Mark English, who also goes by J. Mark English, J. Mark English, is a registered financial advisor currently at INNOVATIVE ADVISORY GROUP located in Nyack, New York.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. John has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J. Mark English | J. Mark English
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.
Nyack Boat Club: Board of Governors: Not Investment Related; Jan 2019; 1-9 hours per month.
Secretary: Parish Council: St. Pius X, Scarsdale, NY; Jan 2019; 1 hour per month
Member: Advisor Plus Network's Apprenticeship Program; Jan 2019; 1 hour per month
CRS (Client Relationship Summary) - RIA
Click below to view John Mark English's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 21, 2019 - Present
INNOVATIVE ADVISORY GROUP
RIA
CRD#: 146618
Nyack, NY
Past
July 26, 2017 - November 7, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RYE BROOK, NY
Past
March 8, 2017 - March 15, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RYE BROOK, NY
Past
September 26, 2016 - November 7, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RYE BROOK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INNOVATIVE ADVISORY GROUP
INNOVATIVE ADVISORY GROUP | NUA ADVISORS, LLC | NUA ADVISORS | INNOVATIVE ADVISORY GROUP, LLC
CRD#: 146618 / SEC#: 801-122046
RIA
Registered Investment Advisory firm - (10/28/2021 Approved)Arizona
Registered Investment Advisory firm - (11/4/2021 Terminated)Connecticut
Registered Investment Advisory firm - (12/18/2013 Terminated)Florida
Registered Investment Advisory firm - (9/21/2011 Terminated)Maine
Registered Investment Advisory firm - (11/8/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (11/4/2021 Terminated)Minnesota
Registered Investment Advisory firm - (11/9/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (12/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - (11/4/2021 Terminated)New York
Registered Investment Advisory firm - (11/4/2021 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2011 Terminated)South Carolina
Registered Investment Advisory firm - (11/4/2021 Terminated)Texas
Registered Investment Advisory firm - (11/4/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(3/3/2022)
IAR
California(1/20/2022)
IAR
Colorado(4/12/2023)
IAR
Connecticut(4/12/2023)
IAR
Florida(5/1/2023)
IAR
Louisiana(2/28/2022)
IAR
Maryland(1/19/2022)
IAR
Massachusetts(11/21/2019)
IAR
New Jersey(2/8/2022)
IAR
New York(1/20/2022)
IAR
Texas(1/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IA
INNOVATIVE ADVISORY GROUP
INNOVATIVE ADVISORY GROUP | NUA ADVISORS, LLC | NUA ADVISORS | INNOVATIVE ADVISORY GROUP, LLC
CRD#: 146618 / SEC#: 801-122046
RIA
Registered Investment Advisory firm - (10/28/2021 Approved)Arizona
Registered Investment Advisory firm - (11/4/2021 Terminated)Connecticut
Registered Investment Advisory firm - (12/18/2013 Terminated)Florida
Registered Investment Advisory firm - (9/21/2011 Terminated)Maine
Registered Investment Advisory firm - (11/8/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (11/4/2021 Terminated)Minnesota
Registered Investment Advisory firm - (11/9/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (12/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - (11/4/2021 Terminated)New York
Registered Investment Advisory firm - (11/4/2021 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2011 Terminated)South Carolina
Registered Investment Advisory firm - (11/4/2021 Terminated)Texas
Registered Investment Advisory firm - (11/4/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
394 Lowell Street, Suite 8, Lexington, MA 02420
Mailing Address
Po Box 750073, Arlington, MA 02475
Phone number
(781) 577-2782
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 790 |
| AUM (Assets Under Management) | $ 160,500,000 |
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.
