Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Taphorn is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 40 years of experience in the industry. John has a wide range of experience in financial planning, portfolio management, and investment services. John has held positions at several firms, including Ameritas Investment Corp., Atlas Securities, Inc., Chase Investment Services Corp., Chase Securities of Texas, Inc., Wachovia Brokerage Service, GNA Securities, Inc., and First Investors Corporation. John has a strong track record of success in helping clients achieve their financial goals.
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
TX
10/09/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KINGWOOD TX)
SD
05/20/2005 - 02/07/2006
AMERITAS INVESTMENT CORP. (DAKOTA DUNES SD)
CA
10/06/2003 - 10/19/2004
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
IL
03/01/1999 - 09/17/2003
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
TX
09/23/1994 - 03/01/1999
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
NC
05/31/1994 - 06/30/1994
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
VA
03/22/1989 - 05/31/1994
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
07/28/1980 - 02/17/1989
FIRST INVESTORS CORPORATION
IA
Issued 11/13/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/20/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/12/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1994
Series 7 - General Securities Representative Examination
BC
Issued 07/11/1980
Series 1 - Registered 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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