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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 Ernest Bundock has been in the financial services industry since 1978 and is currently registered with RBC Capital Markets, LLC. John Ernest Bundock holds several licenses including Series 3, 7, 10, 63, and 65. John Ernest Bundock has previously worked for several other firms including DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., KEMPER SECURITIES GROUP, INC., BOETTCHER & COMPANY, INC., SHEARSON LEHMAN HUTTON INC., and E. F. HUTTON & COMPANY INC. John Ernest Bundock specializes in providing investment advisory services, financial planning, and portfolio management for businesses, individuals, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
04/15/2004 - Present
RBC Capital Markets, LLC (HOUSTON TX)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
04/28/1992 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
MO
09/04/1990 - 05/11/1992
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
08/26/1988 - 09/04/1990
BOETTCHER & COMPANY, INC.
NA
05/14/1988 - 09/22/1988
SHEARSON LEHMAN HUTTON INC.
NA
06/23/1978 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 03/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/06/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2001
Series 3 - National Commodity Futures Examination
BC
Issued 06/17/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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