Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Matthew Mondragon is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. John is active in both the Broker-Dealer and Investment Advisor spaces, and has been in the industry for over 24 years. John has worked for multiple firms in their history, including Pruco Securities, LLC, and Kemper Distributors, Inc. John has passed the Series 3, Series 6, Series 7, Series 63, Series 66, and SIE exams. John specializes in the areas of investment advisory, securities, and commodities. John is currently registered in 53 states in the Broker-Dealer space and 2 states in the Investment Advisor space. John can provide services to a range of clients, including individuals, corporations, high-net-worth individuals, charitable organizations, insurance companies, pension and profit-sharing plans, banking and thrift institutions, and state and municipal governments. John also works with a variety of investment vehicles including mutual funds, stocks, bonds, options, and futures contracts.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
10/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROLLING MEADOWS IL)
IL
07/11/2016 - 08/08/2016
PRUCO SECURITIES, LLC. (NAPERVILLE IL)
IL
09/28/1998 - 02/18/1999
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 9/2/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/5/2022
Series 7TO - General Securities Representative Examination
BC
Issued 7/1/2022
SIE - Securities Industry Essentials Examination
BC
Issued 7/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 9/25/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 8/6/1992
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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