John M. Shorter
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 Michael Shorter, who also goes by John M Shorter, Mike Shorter, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2013. John had worked at 4 firms and has passed the Series 66, 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
January 28, 2022 - December 20, 2024
FROST INVESTMENT SERVICES
June 12, 2019 - December 20, 2024
FROST BROKERAGE SERVICES, INC.
June 10, 2019 - December 31, 2021
FROST INVESTMENT SERVICES
January 22, 2016 - September 26, 2017
PARK AVENUE SECURITIES LLC
January 22, 2016 - September 26, 2017
PARK AVENUE SECURITIES LLC
June 13, 2013 - January 13, 2016
UBS FINANCIAL SERVICES INC.
May 17, 2013 - January 13, 2016
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
