John B. Maier
Professional summary
John Boniface Maier, who also goes by Jack Maier II, Jack Maier, John Boniface Maier Ii, John B Maier, is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Boniface Maier's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2022 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street , Dallas, TX 75201January 19, 2021 - June 1, 2022
UBS SECURITIES LLC
May 16, 2018 - January 20, 2021
CAPSTONE PARTNERS
September 16, 2011 - November 14, 2018
HEADWATERS BD, LLC
February 12, 2007 - November 29, 2010
B. RILEY SECURITIES, INC.
July 21, 2003 - February 22, 2007
LEGACY PARTNERS GROUP, LLC
November 3, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
June 30, 1997 - September 27, 2002
PERSHING LLC
October 20, 1993 - July 15, 1997
DRESDNER KLEINWORT WASSERSTEIN, LLC
April 19, 1988 - July 5, 1989
DUNLEVY & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/7/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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Company Information
COMERICA SECURITIES
CRD#: 17079Dallas, TX 75201TRUST BUT VERIFY
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