John A. Mincey
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 Alex Mincey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1995 - June 20, 1997
NORTHEAST SECURITIES, LLC
April 21, 1994 - August 8, 1995
GLOBAL STRATEGIES GROUP, INC.
October 22, 1991 - November 10, 1994
HERMITAGE CAPITAL CORPORATION
March 16, 1991 - April 23, 1991
UBS FINANCIAL SERVICES INC.
October 30, 1990 - January 30, 1991
MORGAN STANLEY DW INC.
April 11, 1988 - October 15, 1990
LEHMAN BROTHERS INC.
February 7, 1980 - April 11, 1988
E. F. HUTTON & COMPANY INC
April 21, 1978 - February 3, 1980
MORGAN STANLEY DW INC.
March 1, 1978 - May 22, 1978
CITIGROUP GLOBAL MARKETS 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
Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
