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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 Waller Wardlaw is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Charlotte, North Carolina. John has over 20 years of experience in the financial services industry. John holds the Series 7, Series 63, Series 79, and SIE licenses. John has previously worked with Arete Wealth Management, LLC and Regions Securities LLC, both in Charlotte, North Carolina, and has extensive experience with Merrill Lynch, Pierce, Fenner & Smith Inc. John is registered in North Carolina.
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
NC
05/02/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
IL
04/25/2022 - 12/31/2023
ARETE WEALTH MANAGEMENT, LLC (CHICAGO IL)
NC
05/15/2015 - 12/23/2020
REGIONS SECURITIES LLC (Charlotte NC)
NC
11/01/2010 - 04/21/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
08/16/2010 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
NC
05/14/2003 - 11/25/2008
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
BC
Issued 05/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/12/2003
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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