Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Garlock is a financial advisor who has been in the industry since 1980. John is currently registered with RBC Capital Markets, LLC in Nebraska and Texas. John has held previous positions at DAIN RAUSCHER INCORPORATED, KIRKPATRICK, PETTIS, SMITH, POLIAN INC., PAINEWEBBER INCORPORATED, and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED. John has a strong background in providing a wide range of advisory services to individuals, businesses, and institutions. John specializes in providing investment advice and portfolio management services. John is a strong advocate for his clients, working to develop personalized financial plans that meet their unique needs and 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.
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
NE
07/21/2016 - Present
RBC Capital Markets, LLC (OMAHA NE)
NA
05/08/1995 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NE
06/30/1988 - 05/12/1995
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
NA
05/06/1985 - 07/11/1988
PAINEWEBBER INCORPORATED
NA
09/24/1984 - 05/17/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
12/29/1980 - 09/21/1984
PAINEWEBBER INCORPORATED
IA
Issued 03/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1980
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 08/17/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/1997
Series 3 - National Commodity Futures Examination
BC
Issued 01/11/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 03/10/1982
Series 5 - Interest Rate Options Examination
BC
Issued 12/20/1980
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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