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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 Gregory Paffendorf is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. John Gregory Paffendorf has been in the industry since 2002 and has been registered with the Securities and Exchange Commission (SEC) since 2001. John Gregory Paffendorf is also registered with the Financial Industry Regulatory Authority (FINRA). John Gregory Paffendorf has worked for several firms throughout their career, including Morgan Stanley, UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
CA
02/09/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
06/01/2009 - 02/23/2015
MORGAN STANLEY (WOODLAND HILLS CA)
CA
09/12/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WOODLAND HILLS CA)
CA
07/11/2003 - 09/25/2007
UBS FINANCIAL SERVICES INC. (ENCINO CA)
NY
12/11/2001 - 05/28/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/28/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 12/10/2001
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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