Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lima is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc., providing financial advisory services in Lincoln, Rhode Island. John has been in the securities industry for 13 years and has a strong track record of success. John has earned the Series 63, 65, and 66 licenses, demonstrating his expertise in securities and investment advisory services. John is also a registered principal with the Series 9 and 10 licenses. John has experience with a wide range of clients, including high-net-worth individuals, corporations, and pension plans.
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
RI
07/06/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
RI
10/20/2004 - 09/25/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
NY
10/18/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 03/03/2023
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/09/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/25/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2017
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
Not sure John Lima is the right advisor for you? Invested Better is here to help.
