Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Smith is an investment advisor representative currently registered with Fifth Third Securities, Inc. in Illinois. John has been in the industry since December 18, 2015. John has experience with various financial firms including Pruco Securities, LLC, BOFA Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John has passed a number of industry examinations including the Series 63, Series 65, Series 66, Series 7, and the SIE. John's current specializations include: Retirement planning, College Savings, Estate Planning and Insurance.
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.
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.
Sponsor wrap fee program
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.
A percentage of the total value of assets under management is charged.
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2
IL
07/12/2024 - Present
Fifth Third Securities, Inc. (EVERGREEN PARK IL)
IL
07/14/2023 - 01/30/2024
PRUCO SECURITIES, LLC. (DOWNERS GROVE IL)
NY
05/10/2019 - 12/24/2019
BOFA SECURITIES, INC. (NEW YORK NY)
IL
12/23/2011 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
BC
Issued 12/27/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/10/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 3/16/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/9/2024
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 7/14/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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