John Michael Hooker
Professional Summary
John Michael Hooker is a registered financial advisor currently at CCS TRANSACTIONS, LLC located in Chicago, Illinois. John is registered as a RR (Registered Representative) and started their career in finance in 2022. John has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
5 years in the financial services industry
Current & Past Employments
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Current Firm
CCS TRANSACTIONS, LLC
Contact Information
Main Address
150 South Fifth Street Suite 2700, Minneapolis, MN 55402Mailing Address
150 South Fifth Street Suite 2700, Minneapolis, MN 55402Phone Number
(612) 230-3100Established
Minnesota since 01/30/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTWELL FINANCIAL ADVISORY, INC | MEMBER | — |
| BECKER, WILFRED FRANK JR. | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 5656978 |
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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.
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State Registrations and Notice Filings
(2/18/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Feb 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Michael Hooker's CRS (Customer Relationship Summary).
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