Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Charles Smith is a financial advisor with over 30 years of experience in the industry. John is currently registered with Charles Schwab & Co., Inc. and has held previous roles with several firms, including Calamos Financial Services LLC, Carnes Capital Corporation, Fidelity Brokerage Services LLC, and AESIR SECURITIES, INC. John holds multiple securities licenses, including Series 63, Series 65, Series 10, Series 9, Series 8, Series 4, SIE, and Series 7, and is licensed in multiple states. John is also a Registered Principal. John's areas of specialization include portfolio management for individuals and selection of other advisers. John works with a variety of clients, including high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, pension and profit-sharing plans, and insurance companies.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
OR
01/02/2019 - Present
Charles Schwab & CO., Inc. (Salem OR)
IL
01/22/2007 - 01/13/2009
CALAMOS FINANCIAL SERVICES LLC (NAPERVILLE IL)
FL
01/28/2003 - 08/16/2006
CARNES CAPITAL CORPORATION (NAPLES FL)
RI
08/23/1989 - 01/24/2003
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
NA
06/06/1989 - 07/20/1989
AESIR SECURITIES, INC.
BC
Issued 7/30/2013
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/5/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/18/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/17/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 9/17/1992
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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