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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 Michael Splain is a financial advisor with Raymond James & Associates, Inc. with over 30 years of experience in the industry. John has a wide range of licenses and registrations, including Series 7, 31, and 63, as well as the SIE and Series 65 exams. John has provided financial advice and services to a diverse clientele, including individuals, corporations, and institutions, throughout their career. John is committed to providing personalized financial guidance, tailored to meet individual needs.
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.
Please see note in schedule d - miscellaneous
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
DC
05/24/2006 - Present
Raymond James & Associates, Inc. (WASHINGTON DC)
MD
03/25/1987 - 07/07/1993
FERRIS, BAKER WATTS INCORPORATED (BALTIMORE MD)
IA
Issued 09/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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