Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Conor Shalloe is a financial advisor with over 27 years of experience in the financial services industry. John is currently registered with Foreside Fund Services, LLC in Marina del Rey, California. John has previously worked with a number of firms, including Morgan Stanley, Neuberger Berman LLC, TCW Funds Distributors, MWAM Distributors, LLC, and Lincoln Financial Distributors, Inc. John has passed the Series 63, Series 65, SIE, and Series 7 exams. John is registered to provide investment advice in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
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.
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2
CA
12/18/2020 - Present
Foreside Fund Services, LLC (Marina del Rey CA)
CA
08/12/2016 - 03/12/2020
MORGAN STANLEY (LOS ANGELES CA)
NY
12/03/2014 - 09/03/2015
NEUBERGER BERMAN LLC (NEW YORK NY)
CA
11/29/2010 - 01/07/2014
TCW FUNDS DISTRIBUTORS (LOS ANGELES CA)
CA
04/24/2007 - 12/09/2010
MWAM DISTRIBUTORS, LLC (LOS ANGELES CA)
PA
05/29/2001 - 04/23/2007
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
CA
12/06/1996 - 03/17/1998
UBOC INVESTMENT SERVICES, INC. (GLENDALE CA)
NY
06/06/1996 - 10/01/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
06/18/1992 - 02/13/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
08/25/1989 - 01/18/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
01/03/1989 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
12/20/1984 - 01/20/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/21/1984 - 11/08/1984
BECKER PARIBAS INCORPORATED
BC
Issued 06/01/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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