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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 Walter Marshall has been in the financial services industry since December 1978. John is currently registered with B.b. Graham & Company, Inc. in California, Ohio, and Oregon. Previously, John was registered with RBC Capital Markets, LLC in California from March 2002 to December 2019. John holds licenses for Securities Industry Essentials Examination, Futures Managed Funds Examination, Foreign Currency Options Examination, Interest Rate Options Examination, and General Securities Representative Examination. John is also licensed in several states.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
CA
09/01/2020 - Present
B.b. Graham & Company, Inc. (ORANGE CA)
CA
03/09/2002 - 12/11/2019
RBC CAPITAL MARKETS, LLC (PASADENA CA)
CA
09/20/1999 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
04/01/1980 - 09/21/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
12/01/1978 - 03/29/1980
E. F. HUTTON & COMPANY INC
IA
Issued 03/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/17/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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