Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn F Curtis is an active Investment Advisor Representative (IAR) at Merrill Lynch, Pierce, Fenner & Smith Inc., based in Hyannis, MA. John F Curtis has been in the financial services industry since March 30, 1980. In addition to holding Series 63 and Series 65 licenses, John F Curtis is also a registered principal, holding Series 4, Series 8, Series 9, and Series 10 licenses. John F Curtis has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 23, 2009. Prior to working at Merrill Lynch, Pierce, Fenner & Smith Inc., John F Curtis worked at BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., WACHOVIA SECURITIES, INC., and SALOMON SMITH BARNEY 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
MA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HYANNIS MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (HYANNIS MA)
NY
12/12/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MO
11/04/1998 - 12/10/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NY
07/21/1994 - 10/22/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/18/1980 - 07/22/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/27/1980
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1980
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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