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Detailed Report
JOHN MARTIN ROSECKY
John Rosecky
CRD#: 2132538
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 224 VALLEY CREEK BLVD
EXTON, PA 19341
Registration History
19952000200520102015202020252 FIRMS2017 - Present (7 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2009 - 2017 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 2009 (16 years)BFIN-PLAN INVESTMENTS, INC. (CRD# 1834)1991 - 1992 (1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2017 (1 year)
License(s)

State Registrations

B
Colorado 3/1/2018
B
New York 9/15/2017
B
Connecticut 11/2/2022
B
North Carolina 4/5/2018
B
Delaware 9/15/2017
B
Oklahoma 9/15/2017
B
District of Columbia 11/30/2017
B
Pennsylvania 9/15/2017
B
Florida 9/15/2017
IA
Pennsylvania 9/15/2017
B
Maine 9/15/2017
B
South Carolina 2/25/2020
B
Massachusetts 9/15/2017
B
Texas 9/15/2017
B
Minnesota 10/26/2017
IA
Texas 9/15/2017
B
Montana 1/16/2024
B
Utah 9/15/2017
B
Nevada 2/29/2024
B
Virginia 9/11/2020
B
New Jersey 9/15/2017

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 9/15/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
224 VALLEY CREEK BLVD, EXTON, PA 19341
Registered with this firm since 9/15/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/09/2016 - 09/19/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) RADNOR, PA
B
 01/16/2009 - 09/19/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) RADNOR, PA
B
 11/12/1992 - 01/22/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAYNE, PA
B
 03/15/1991 - 09/23/1992 FIN-PLAN INVESTMENTS, INC. (CRD#:1834) SOUDERTON, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.