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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 Richard Allison is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., offering investment advisory services. John Richard Allison has been in the industry since 1991 and has been registered with the Securities and Exchange Commission (SEC) since 1990. John Richard Allison has passed the Series 7, Series 63, and Series 65 exams, and is licensed in 23 states and the District of Columbia. John Richard Allison's prior employers include BANC of AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., SEAFIRST INVESTMENT SERVICES, INC., PNMR SECURITIES, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. John Richard Allison has specializations in investment advisory services, portfolio management, and financial planning.
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
WA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (RENTON WA)
CA
07/01/1998 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
11/20/1992 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
MA
07/13/1994 - 04/19/1995
PNMR SECURITIES, INC. (BOSTON MA)
NY
10/24/1990 - 09/01/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 6/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/9/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1990
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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