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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 Henderson is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. John has been in the financial services industry for over 20 years and has a wide range of experience in investment advisory and brokerage services. John holds a variety of licenses and certifications, including Series 3, 7, 63, 65, and 66. John is registered with the Securities and Exchange Commission (SEC) and has a history of working with clients from a variety of backgrounds, including high-net-worth individuals, corporations, and pension plans. John is dedicated to providing his clients with personalized financial advice and guidance.
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
FL
06/02/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARASOTA FL)
FL
06/25/2010 - 05/30/2017
UBS FINANCIAL SERVICES INC. (SARASOTA FL)
FL
08/22/2003 - 06/29/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SARASOTA FL)
NC
04/15/2002 - 11/26/2002
UVEST INVESTMENT SERVICES (CHARLOTTE NC)
MN
10/31/1997 - 03/01/2000
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
AZ
06/19/1996 - 11/05/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MI
03/23/1995 - 05/09/1995
W R RICE FINANCIAL SERVICES, INC. (BAY CITY MI)
MO
08/31/1992 - 04/08/1993
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 09/25/2003
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/28/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2013
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/1992
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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