Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn A Bazan is a financial advisor with over 20 years of experience in the industry. John is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and is a registered representative in Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., John worked at FIDELITY BROKERAGE SERVICES LLC. John is licensed to offer a wide range of financial products and services, including securities, investment advisory services and insurance. John holds the Series 63, Series 66, Series 7, Series 9 and Series 10 licenses. John is also registered to conduct business in multiple states. John is a dedicated professional who is committed to providing his clients with personalized financial advice and guidance.
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
TX
02/11/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
06/28/2004 - 06/13/2007
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
BOTH
Issued 02/07/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/11/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/03/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2010
Series 7 - General Securities Representative 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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