Individual Firm
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JOHN MATTHEW JOLLIFFE
JOHN MATHEW JOLLIFFE
CRD#: 2460825
IA
B
PNC INVESTMENTSCRD#: 129052 1900 E. 9TH STREET (OSJ)
CLEVELAND, OH 44114
CLEVELAND, OH 44114
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10/4/2013
Customer Dispute
Award / Judgment
State Registrations
B
District of Columbia 1/8/2025
B
Ohio 10/28/2019
B
Florida 10/10/2024
IA
Ohio 10/29/2019
B
Illinois 10/24/2024
B
Pennsylvania 10/28/2019
B
North Carolina 10/11/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/29/2019
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Registered with this firm since 10/28/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2018 - 10/21/2019 | TOLEDO, OH | |
B | 11/03/2017 - 10/21/2019 | TOLEDO, OH | |
IA | 08/28/2014 - 11/28/2017 | LAKEWOOD, OH | |
B | 09/12/2014 - 11/28/2017 | LAKEWOOD, OH | |
IA | 10/05/2009 - 08/14/2014 | WESTLAKE, OH | |
B | 10/05/2009 - 08/14/2014 | WESTLAKE, OH | |
IA | 07/14/2003 - 10/05/2009 | MAYFIELD, OH | |
B | 04/14/1994 - 10/05/2009 | MAYFIELD, OH |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.