Individual Firm
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John RAYMOND Lembeck
JOHN R LEMBECK
CRD#: 1238249
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 77 BROAD ST
RED BANK, NJ 07701
RED BANK, NJ 07701
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2/19/2015
Customer Dispute
Denied
12/7/2005
Customer Dispute
Denied
State Registrations
B
Alaska 12/10/2018
B
Missouri 5/21/2013
B
Arizona 5/21/2013
B
Nevada 5/21/2013
B
California 5/21/2013
B
New Hampshire 1/28/2015
B
Colorado 2/21/2017
B
New Jersey 5/21/2013
B
Connecticut 5/21/2013
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New Jersey 5/21/2013
B
Delaware 3/3/2015
B
New Mexico 5/21/2013
B
District of Columbia 7/10/2024
B
New York 5/21/2013
B
Florida 5/21/2013
B
North Carolina 6/28/2013
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Florida 11/22/2021
B
Ohio 1/23/2018
B
Georgia 5/21/2013
B
Oregon 5/21/2013
B
Hawaii 5/15/2014
B
Pennsylvania 5/21/2013
B
Idaho 1/9/2024
B
South Carolina 5/21/2013
B
Illinois 5/21/2013
B
Tennessee 5/21/2013
B
Indiana 10/19/2018
B
Texas 5/21/2013
B
Kansas 5/11/2023
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Texas 6/11/2013
B
Kentucky 6/10/2015
B
Vermont 8/31/2015
B
Louisiana 5/11/2023
B
Virginia 5/21/2013
B
Maine 1/24/2018
B
Washington 6/27/2013
B
Maryland 5/21/2013
B
Wisconsin 2/27/2023
B
Massachusetts 5/21/2013
B
Wyoming 4/24/2024
B
Michigan 8/28/2015
SRO Registrations
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B
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 5/21/2013
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Registered with this firm since 5/21/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 06/18/2013 | SHREWSBURY, NJ | |
B | 06/01/2009 - 06/18/2013 | SHREWSBURY, NJ | |
IA | 02/21/2006 - 06/01/2009 | SHREWSBURY, NJ | |
B | 02/21/2006 - 06/01/2009 | SHREWSBURY, NJ | |
IA | 05/02/2002 - 02/21/2006 | SHREWSBURY, NJ | |
B | 09/18/2000 - 02/21/2006 | BALTIMORE, MD | |
B | 03/21/1984 - 09/19/2000 | NEW YORK, NY | |
B | 03/21/1984 - 01/05/2000 | NEW YORK, NY |
NEW YORK, NY
03/21/1984 - 01/05/2000
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.