Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Walker Floyd III is a financial advisor with Robert W. Baird & Co. Inc., who has been in the industry for 27 years. John is licensed and registered to conduct securities business in Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Nebraska, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia and Washington. John focuses on portfolio management for businesses, individuals, investment companies, and pooled investment vehicles. John also offers financial planning, pension consulting, educational seminars, and publication of periodicals. John is licensed and registered to offer investment advisory services in Florida, North Carolina, and Texas. John holds Series 7, 63, and 65 licenses.
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.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NC
11/01/2016 - Present
Robert W. Baird & Co. Inc. (Charlotte NC)
NC
06/01/2009 - 06/16/2010
MORGAN STANLEY SMITH BARNEY (CHARLOTTE NC)
NC
04/02/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
CA
02/28/2000 - 03/02/2001
LONDON PACIFIC ADVISORS (SACRAMENTO CA)
NC
11/21/1995 - 02/29/2000
CAPITAL INVESTMENT GROUP, INC. (RALEIGH NC)
IA
Issued 05/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure John Floyd is the right advisor for you? Invested Better is here to help.
