Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lowrey Gardner is a registered investment advisor with over 34 years of experience in the financial services industry. John Gardner is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, John Gardner was registered with WELLS FARGO CLEARING SERVICES, LLC from July 2003 to November 2019 and with PRUDENTIAL SECURITIES INCORPORATED from May 1996 to July 2003. John Gardner holds a Series 65 license for Investment Adviser Law and a Series 63 license for Securities Agent State Law. John Gardner is also registered as a securities principal with a Series 10, 9, and 8 licenses. John Gardner specializes in portfolio management for individuals and businesses and has a strong track record of providing customized financial solutions to meet client needs. John Gardner's commitment to providing exceptional client service and expertise has earned him the trust and respect of numerous clients over the years.
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
KY
12/17/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOUISVILLE KY)
KY
07/01/2003 - 11/12/2019
WELLS FARGO CLEARING SERVICES, LLC (LEXINGTON KY)
NY
05/07/1996 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/18/1988 - 05/01/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/20/1985 - 01/26/1988
PAINEWEBBER INCORPORATED
IA
Issued 02/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/22/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1996
Series 15 - Foreign Currency Options Examination
BC
Issued 05/15/1996
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1989
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1985
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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