John MaiCRD Number: 1354465
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
John Mai (CRD# 1354465) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Winter Park, FL and has over 23 years of experience in the finance industry. John Mai has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Bank Of America,na||Winter Park, FL||Oct 2010 - Current||6|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Winter Park, FL||Aug 2010 - Current||7|
|Wachovia Securities, LLC||Orlando, FL||Jan 2005 - Aug 2010||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1994|
|S65||NASAA Investment Advisors Law Examination||Apr 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- 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)
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