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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 Mondragon is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the industry since 1992 and is licensed in 53 states. John is registered with both FINRA and the SEC. Prior to joining Merrill Lynch, John was a financial advisor at Pruco Securities, LLC. and Daniels Trading, Inc. John holds multiple FINRA and state licenses, including Series 66, Series 7, Series 6, and Series 3. John specializes in providing portfolio management for individuals and businesses, as well as pension consulting and educational seminars.
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
IL
10/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROLLING MEADOWS IL)
IL
07/11/2016 - 08/08/2016
PRUCO SECURITIES, LLC. (NAPERVILLE IL)
IL
09/28/1998 - 02/18/1999
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 09/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/01/2022
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 09/25/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/06/1992
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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