John Diefenbach, financial advisor Lake Forest IL

John Diefenbach

CRD Number: 2006364
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

John Diefenbach (CRD# 2006364) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Lake Forest, IL and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Lake Forest, IL Apr 2016 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lake Forest, IL Mar 2016 - Current 8
William Blair & Co LLC Chicago, IL Jul 2009 - Mar 2016 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2011
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for John D. Diefenbach
Phone Number: 800-637-7455
Registered State(s):
  • FL
  • IL
  • SC
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    1,093,689
    MILLIONS
  • Total Number of Accounts
    2,864,234
    ACCOUNTS
  • Average Account Value
    $381,844
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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