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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 Thomas Horner is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. John Horner has been in the financial services industry since 1992. John Horner has passed the Series 66, Series 63, Series 24, Series 79TO, SIE, and Series 7 exams. John Horner holds licenses in 30 states and has 30 years of experience in the industry. John Horner is registered with Merrill Lynch, Pierce, Fenner & Smith Inc., which is a large financial services firm with offices in New York City and around the world.
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
CT
04/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DARIEN CT)
NY
06/26/2008 - 08/06/2010
HFP CAPITAL MARKETS LLC (NEW YORK NY)
NY
07/24/2006 - 11/27/2006
GREAT EASTERN SECURITIES, INC. (NEW YORK NY)
NY
11/04/2004 - 02/10/2005
LEEB BROKERAGE SERVICES, INC. (NEW YORK NY)
NJ
05/05/1998 - 07/07/2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
11/06/1996 - 10/14/1997
BARCLAY INVESTMENTS, INC. (NEW YORK NY)
NY
01/20/1995 - 03/05/1996
HSBC SECURITIES, INC. (NEW YORK CITY NY)
NY
07/26/1984 - 07/13/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/25/1984 - 07/13/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 08/30/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2006
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 07/21/1984
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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