John Mann: Oppenheimer Denies Complaint Against Olympic Advisor

Newport Beach, California financial advisor John Mann (CRD# 6715021) recently received an investor complaint alleging that he failed to follow instructions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Oppenheimer & Company.

Mr. Mann’s BrokerCheck report discloses one investor complaint. Filed in February 2024, it alleged that as a representative of Oppenheimer & Company, he failed to follow a customer’s instructions to close out an options position. The complaint alleged damages of $90,000 and was denied by the firm.

Oppenheimer & Company’s website includes a profile of Mr. Mann that describes him as a founding partner of Olympic Private Client Group, a practice within the firm. “John focuses on establishing a holistic view of each client’s unique financial needs and goals,” it states. “In this process, a bespoke investment strategy is created for each client. These strategies often include coordination and input from the clients’ other trusted advisors, such as their CPAs, estate and business planning attorneys, trustees, and banking professionals.”

Elsewhere, the group’s website describes its “holistic” approach to wealth management, which begins with an analysis of the customer’s goals and risk tolerance. “Then we utilize sophisticated planning to match those parameters with liquid investments that can grow and protect your assets,” it explains. “We strive to give you exceptional service that is proactive, thoughtful and personalized. As your needs change we learn and adapt.”

According to the Financial Industry Regulatory Authority, John Mann holds seven years of securities industry experience. Based in Newport Beach, California, he has been a broker and an investment advisor with Oppenheimer & Company since 2016 and 2017, respectively. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 29 state licenses. (Information current as of March 3, 2024.)

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