Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Govic is an active investment advisor representative, licensed with Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the industry for over 25 years and has worked with multiple firms including Oppenheimer & Co. Inc., J.P. Morgan Securities LLC, UBS Financial Services Inc. and Maxim Group LLC. John currently holds a Series 63, 65, 7, 10, 9, 24, 31, 3, 16, 52TO, and 57TO licenses. John's areas of expertise include portfolio management for individuals and businesses, pension consulting and educational seminars.
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
NY
08/05/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/01/2021 - 06/30/2022
JOSEPH GUNNAR & CO. LLC (NEW YORK NY)
NJ
05/12/2017 - 04/01/2021
OPPENHEIMER & CO. INC. (SADDLE BROOK NJ)
NY
07/18/2014 - 01/09/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/18/2006 - 06/23/2014
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
05/11/2004 - 04/18/2006
MAXIM GROUP LLC (NEW YORK NY)
NY
11/26/2003 - 03/23/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/27/2002 - 10/24/2002
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
01/31/1996 - 04/01/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NJ
04/05/1994 - 05/23/1994
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
MI
05/17/1994 - 05/19/1994
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 12/26/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/17/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/05/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/11/2004
Series 4 - Registered Options Principal Examination
BC
Issued 08/10/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/08/2021
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2011
Series 3 - National Commodity Futures Examination
BC
Issued 01/29/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/04/1994
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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