Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Robert Book is a financial advisor with over 20 years of experience in the industry. John has a broad range of experience, having worked for several well-known firms, including Cowen & Co., Robertson Stephens, Inc., First Albany Capital Inc., Thomas Weisel Partners LLC, Stifel, Nicolaus & Company, Incorporated, Pacific Crest Securities LLC, and now Oppenheimer & Co. Inc. John holds several licenses including Series 7, Series 10, Series 24, Series 63, and Series 79TO. John has experience with a variety of client types, including individuals, corporations, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MA
08/31/2015 - Present
Oppenheimer & Co. Inc. (BOSTON MA)
MA
06/02/2011 - 03/02/2015
PACIFIC CREST SECURITIES LLC (BOSTON MA)
MA
07/12/2010 - 04/04/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BOSTON MA)
MA
02/20/2007 - 07/16/2010
THOMAS WEISEL PARTNERS LLC (BOSTON MA)
MA
10/02/2002 - 02/26/2007
FIRST ALBANY CAPITAL INC. (BOSTON MA)
CA
11/13/1998 - 07/25/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NY
07/01/1998 - 10/23/1998
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
01/14/1998 - 07/01/1998
COWEN & CO. (NEW YORK NY)
BC
Issued 06/30/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/02/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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