Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lawrence Kellerman is a financial professional with over 20 years of experience in the securities industry. John is currently registered with Bofa Securities, Inc., and is a Series 3, 7 and 63 licensed professional. John has held previous roles with firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scotia Capital (USA) Inc., Tradition Asiel Securities Inc., Citigroup Global Markets Inc., Putnam Retail Management Limited Partnership, Sanwa Universal Securities Co., LLC, Sanwa Securities (USA) Co., L.P., and Nomura Securities International, Inc.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
02/04/2016 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/23/2010 - 04/24/2014
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
02/03/2010 - 02/24/2010
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
01/04/2010 - 02/11/2010
TRADITION ASIEL SECURITIES INC. (NEW YORK NY)
NY
09/29/2003 - 02/12/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MA
03/27/2001 - 08/27/2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
NY
06/23/1997 - 03/20/2001
SANWA UNIVERSAL SECURITIES CO., LLC (NEW YORK NY)
NY
06/23/1997 - 07/10/1998
SANWA SECURITIES (USA) CO., L.P. (NEW YORK NY)
NY
05/31/1994 - 06/06/1997
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NA
09/22/1987 - 05/06/1988
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 06/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2006
Series 3 - National Commodity Futures Examination
BC
Issued 05/18/1994
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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