John T. Adams
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 Tucker Adams was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2015. John had worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2016 - September 12, 2022
MAINLINE PRIVATE WEALTH, LLC
March 28, 2016 - September 12, 2022
3ICO SECURITIES LLC
January 26, 2015 - May 26, 2017
CMS INVESTMENT RESOURCES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MAINLINE PRIVATE WEALTH, LLC
CRD#: 159295 / SEC#: 801-72888
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 858 |
| AUM (Assets Under Management) | $ 792,780,123 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2023 |
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.
