Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Carl Duguid is a financial advisor with over 30 years of experience in the industry. John is currently registered with Robert W. Baird & Co. Inc. and is licensed to provide investment advice in multiple states. John previously held positions at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John has earned Series 7, 63, and 66 securities licenses and has a broad range of experience in the financial services industry.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NC
06/24/2020 - Present
Robert W. Baird & Co. Inc. (Charlotte NC)
NC
06/01/2009 - 03/20/2012
MORGAN STANLEY SMITH BARNEY (CHARLOTTE NC)
NC
03/16/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NY
10/09/1992 - 02/25/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/30/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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