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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 Lorenzo Brais is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the industry since 2006. John currently holds registrations with FINRA and is also registered with the states of Rhode Island and Texas. In the past, John was also registered with BANC OF AMERICA INVESTMENT SERVICES, INC. John Lorenzo Brais holds licenses for Series 63, 66 and 7. John Lorenzo Brais's firm offers a variety of services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. John Lorenzo Brais provides investment advice to individual investors, high-net-worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and state or municipal government entities.
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
RI
07/11/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
RI
10/23/2009 - 07/06/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LINCOLN RI)
RI
04/03/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
BOTH
Issued 7/5/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/2/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/16/2007
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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