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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn B. Mobley is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. John has over 20 years of experience in the securities industry. John is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63 and Series 65 licenses. John is also registered as an investment advisor representative in several states. John has a long history of working with a variety of clients, including individuals, corporations, pension plans, and charitable organizations. John specializes in providing investment advice and portfolio management services. John is committed to providing his clients with the highest level of service and expertise. Prior to John’s time with Merrill Lynch, John has also worked with Sterne, Agee & Leach, Inc. and FTN Financial Securities Corp.
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
GA
05/23/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
GA
04/27/2006 - 08/07/2007
STERNE, AGEE & LEACH, INC. (ATLANTA GA)
GA
01/07/2005 - 04/26/2006
FTN FINANCIAL SECURITIES CORP (DULUTH GA)
NY
04/19/2000 - 01/07/2005
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
IA
Issued 10/31/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2000
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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