Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Mark Douglas has been working in the financial industry since 1992. Currently, John is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, John was with UBS Financial Services Inc., J.C. Bradford & Co. and Continental Equities Corporation of America, among other firms. John is registered to provide financial advice and services in multiple states, including Tennessee, Texas, Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Mississippi, Missouri, New Mexico, New York, North Carolina, North Dakota, Ohio, Pennsylvania, South Carolina, Virginia, and Washington.
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
TN
01/31/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KINGSPORT TN)
TN
09/25/1998 - 12/24/2008
UBS FINANCIAL SERVICES INC. (KINGPORT TN)
NY
06/28/2000 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
06/12/1996 - 10/06/1998
J.C. BRADFORD & CO. (NEW YORK NY)
NA
12/18/1986 - 02/03/1989
CONTINENTAL EQUITIES CORPORATION OF AMERICA
NA
05/20/1985 - 08/23/1988
TRAVELERS EQUITIES SALES, INC.
IA
Issued 05/12/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2000
Series 3 - National Commodity Futures Examination
BC
Issued 05/14/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 06/11/1996
Series 7 - General Securities Representative Examination
BC
Issued 05/16/1985
Series 6 - Investment Company Products/Variable Contracts 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 Douglas is the right advisor for you? Invested Better is here to help.
