Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Defalco is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the securities industry for 25 years. John also has a Series 65 license and is registered as an Investment Advisor Representative in New Jersey. John specializes in portfolio management for individuals and businesses, as well as pension consulting. Prior to joining Merrill Lynch, John was a registered representative with Charles Schwab & Co., Inc. and American Express Financial Advisors Inc.
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
NJ
04/14/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FREEHOLD NJ)
TX
05/18/1998 - 10/08/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MN
09/24/1997 - 04/08/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/24/1997 - 04/08/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 11/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/27/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1997
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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