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JM

John R. Monahan

CLEARPOOL EXECUTION SERVICES
New York, NY 10004
Some features on this profile are disabled
CRD#: 6746763
JM

Professional summary

John Raymond Monahan, who also goes by John Monahan, John Raymond Monahan, is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2019. John has worked at 5 firms and has passed the Series 66, Series 57TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Monahan | John Raymond Monahan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Raymond Monahan'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®
None

Experience

Current

July 27, 2023 - Present

CLEARPOOL EXECUTION SERVICES, LLC

Office #1: 17 State Street 38th Floor, New York, NY, 10004
BD
CRD#: 168490
New York, NY
Past

August 8, 2022 - August 15, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Jersey City, NJ
Past

August 1, 2022 - August 15, 2023

MORGAN STANLEY

BD
CRD#: 149777
Jersey City, NJ
Past

April 11, 2022 - August 15, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
Jersey City, NJ
Past

April 7, 2022 - August 15, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Jersey City, NJ
Past

October 7, 2019 - April 4, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

August 30, 2019 - April 4, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/7/2025
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2019
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CE
CLEARPOOL EXECUTION SERVICES, LLC
CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
17 State Street 38th Floor, New York, NY, 10004
Mailing Address
17 State Street 38th Floor, New York, NY, 10004
Phone number
(212) 531-8500
Established
New York since 05/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINOP3028843
FORLENZA, MICHAELPRESIDENT5886049
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904
YUKILEVICH, DANIELCHIEF COMPLIANCE OFFICER5635481

Disclosures

Regulatory Event19

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.

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490New York, NY 10004

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