Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Anthony Lacey is a financial advisor with over 35 years of experience in the financial services industry. John is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Alabama and Texas. He has previously worked for Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., The Robinson-Humphrey Company, LLC, Prudential Securities Incorporated, J.C. Bradford & Co., and North American Investment Corp. John holds Series 63, 65, 7 and SIE licenses. John specializes in financial planning, investment management, and pension consulting. He has experience working with a variety of clients, including individuals, high net worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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
AL
10/08/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
AL
06/01/2009 - 04/30/2010
MORGAN STANLEY SMITH BARNEY (BIRMINGHAM AL)
AL
07/11/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BIRMINGHAM AL)
AL
01/02/2002 - 07/24/2007
CITIGROUP GLOBAL MARKETS INC. (BIRMINGHAM AL)
GA
09/24/1993 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NY
04/24/1986 - 09/28/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/31/1985 - 06/14/1986
J.C. BRADFORD & CO.
NA
06/18/1985 - 08/12/1985
NORTH AMERICAN INVESTMENT CORP.
IA
Issued 06/17/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1985
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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