John Cadena
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 Cadena was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 12 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, Series 62, Series 7TO, SIE, Series 7, Series 4, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2024 - September 19, 2025
C2M SECURITIES, LLC
January 16, 2020 - December 3, 2021
ESSEX SECURITIES LLC
October 9, 2012 - September 23, 2018
NETREX CAPITAL MARKETS, LLC
June 10, 2008 - June 3, 2013
RISE FINANCIAL SERVICES, LLC
May 23, 2002 - February 17, 2006
RAYMOND JAMES & ASSOCIATES, INC.
August 20, 1999 - June 14, 2000
GUNNALLEN FINANCIAL, INC
April 4, 1994 - August 30, 1999
BIRCHTREE FINANCIAL SERVICES LLC
October 13, 1992 - April 11, 1994
UMB FINANCIAL SERVICES, INC.
March 23, 1992 - October 6, 1992
BIRCHTREE FINANCIAL SERVICES LLC
January 30, 1987 - September 6, 1990
AMERIPRISE ADVISOR SERVICES, INC.
September 4, 1986 - January 20, 1987
LOWELL H. LISTROM & COMPANY INC.
November 2, 1983 - September 4, 1984
B.C. CHRISTOPHER SECURITIES CO.
May 31, 1983 - December 20, 1983
E. F. HUTTON & COMPANY INC
July 24, 1980 - August 18, 1981
LOWELL H. LISTROM & COMPANY INC.
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 ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 8
Date: 10/5/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
C2M SECURITIES, LLC
CRD#: 38924 / SEC#: , 8-48466
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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