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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 Robert Steiner is a financial professional with over 29 years of experience in the securities industry. John has worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since March of 2011. Prior to joining Merrill Lynch, John worked at WELLS FARGO ADVISORS, LLC and CITIGROUP GLOBAL MARKETS INC. John has passed the Series 3, 7, 9, 10, 63, and 65 exams, along with the SIE. John is registered to provide securities and investment advisory services in 53 states and jurisdictions. John is affiliated with the firm's BEND, OR office.
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
OR
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BEND OR)
CA
06/03/2009 - 03/02/2011
WELLS FARGO ADVISORS, LLC (EAST PALO ALTO CA)
CA
07/31/1993 - 04/16/2009
CITIGROUP GLOBAL MARKETS INC. (PLEASANTON CA)
NY
05/14/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2003
Series 3 - National Commodity Futures Examination
BC
Issued 05/11/1992
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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