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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 Laurence Dozier is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the industry. John holds licenses in several states and has a broad range of certifications, including Series 3, 4, 7, 24, 55, and 63. John provides a variety of services to both individuals and businesses, including portfolio management, financial planning, and investment research. John has previously held positions with other major financial institutions including Citigroup Global Markets Inc., J.P. Morgan Securities Inc., and UBS Warburg LLC.
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
VA
05/17/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (North Garden VA)
NY
03/30/2010 - 10/23/2012
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/01/2008 - 03/22/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/09/2003 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
10/18/2000 - 04/02/2003
UBS WARBURG LLC (NEW YORK NY)
NY
08/31/1995 - 06/26/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 05/16/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/05/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/20/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/30/2006
Series 24 - General Securities Principal Examination
BC
Issued 08/01/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2017
Series 7 - General Securities Representative Examination
BC
Issued 06/15/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/01/2002
Series 3 - National Commodity Futures 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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