Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Nam has been in the financial industry since February 2001. John is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with them since September 2008. John has held previous positions at MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC.. John is licensed in 26 states and holds multiple securities licenses including Series 66, Series 31, and Series 7. John provides a variety of services to his clients including portfolio management, financial planning, and pension consulting.
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
09/19/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (IRVINE CA)
CA
04/02/2007 - 09/22/2008
MORGAN STANLEY & CO. INCORPORATED (SANTA ANA CA)
CA
02/09/2001 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA ANA CA)
BOTH
Issued 03/19/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 02/08/2001
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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