Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Raymond Lembeck is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been working in the financial services industry since March 20, 1984. John is registered with the state of Florida as an Investment Advisor Representative, and also holds registrations in New Jersey and Texas. John is a Series 7 and Series 63 licensed advisor. John has a long history of working with individuals, corporations, and high net worth individuals.
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
NJ
06/11/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NJ
06/01/2009 - 06/18/2013
MORGAN STANLEY (SHREWSBURY NJ)
NJ
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
MD
09/18/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
03/21/1984 - 09/19/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
03/21/1984 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 08/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/15/1999
Series 24 - General Securities Principal Examination
BC
Issued 07/06/1994
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/20/1984
Series 6 - Investment Company Products/Variable Contracts 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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