Individual Firm
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JOHN MAURICE NEGRETE III
John Negrete
CRD#: 5654139
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 700 MAIN ST
NAPA, CA 94559
NAPA, CA 94559
0
Disclosures
14
Years of Experience
View By:
State Registrations
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Alaska 7/22/2019
B
Nevada 7/27/2023
B
Arkansas 1/3/2025
B
New Jersey 1/20/2021
B
California 11/16/2018
B
North Carolina 11/7/2019
IA
California 11/19/2018
B
South Carolina 3/15/2024
B
Colorado 10/23/2024
B
Tennessee 10/12/2022
B
Florida 11/16/2018
IA
Texas 11/16/2018
B
Georgia 11/7/2019
B
Texas 3/26/2021
B
Illinois 1/8/2025
B
Utah 11/16/2018
B
Kansas 7/18/2019
B
Washington 11/16/2018
B
Massachusetts 3/31/2023
B
Wisconsin 3/15/2024
SRO Registrations
B
B
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/16/2018
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Registered with this firm since 11/16/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/18/2016 - 11/09/2018 | LAFAYETTE, CA | |
B | 01/14/2016 - 11/09/2018 | LAFAYETTE, CA | |
IA | 01/15/2016 - 09/22/2016 | LAFAYETTE, CA | |
IA | 01/06/2016 - 04/12/2016 | Lafayette, CA | |
B | 11/18/2015 - 01/26/2016 | FORT MILL, SC | |
IA | 04/26/2013 - 01/20/2016 | LAFAYETTE, CA | |
B | 10/04/2012 - 11/18/2015 | LAFAYETTE, CA | |
IA | 10/04/2012 - 03/12/2013 | LAFAYETTE, CA | |
IA | 11/16/2010 - 10/01/2012 | TORRANCE, CA | |
B | 07/01/2010 - 10/01/2012 | TORRANCE, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.