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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 S. Douglass is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the industry. John has a wide range of experience in the financial services industry having previously worked with both WELLS FARGO ADVISORS, LLC and BANC OF AMERICA INVESTMENT SERVICES, INC. John S. Douglass is also registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). John currently holds registrations in Florida, New Jersey, and Texas and has previously held licenses in 48 other states. John S. Douglass specializes in providing financial advice and investment management services to a variety of clients, including individuals, high-net-worth 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.
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
09/09/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
FL
01/28/2009 - 08/13/2010
WELLS FARGO ADVISORS, LLC (JACKSONVILLE FL)
FL
03/01/2004 - 01/09/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (JACKSONVILLE FL)
AL
09/17/2002 - 11/12/2002
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BOTH
Issued 09/08/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/24/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/16/2002
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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