Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Soucy has been in the financial industry since November 1999 and is currently registered with LPL Financial LLC in Rhode Island and Texas. John has been with LPL since October 2011. Before that, John was registered with UVEST Financial Services Group, Inc. and Webster Investment Services, Inc. John has several professional designations and has passed several exams. John has a strong track record of success in the financial industry and is committed to providing his clients with the highest level of service and expertise.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Consulting and other non-discretionary advisory 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.
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.
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2
RI
04/07/2021 - Present
LPL Financial LLC (RIVERSIDE RI)
RI
02/13/2007 - 10/11/2011
UVEST FINANCIAL SERVICES GROUP, INC. (WARWICK RI)
RI
07/27/2005 - 02/13/2007
WEBSTER INVESTMENT SERVICES, INC. (WARWICK RI)
NY
09/29/2000 - 07/28/2005
IFMG SECURITIES, INC. (PURCHASE NY)
MA
11/09/1999 - 10/11/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
11/09/1999 - 10/11/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 12/31/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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