Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Q. Smith is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Chicago, Illinois. John has been active in the financial services industry since 1985. John Q. Smith has worked for multiple financial institutions, including UBS Financial Services Inc. and Goldman, Sachs & Co. John Q. Smith is registered with the state of Illinois and Texas. John Q. Smith is also registered as an Investment Advisor representative in Illinois and Texas.
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
10/15/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
07/12/2002 - 10/21/2009
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
09/13/1988 - 07/29/2002
GOLDMAN, SACHS & CO. (NEW YORK NY)
NA
01/23/1985 - 09/10/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 12/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1988
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1988
Series 5 - Interest Rate Options Examination
BC
Issued 10/12/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 01/19/1985
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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