John F. Coughenour
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Frederick Coughenour was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2002 - January 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2002 - January 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2001 - July 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2001 - July 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 22, 1989 - March 10, 1998
CITIGROUP GLOBAL MARKETS INC.
January 25, 1983 - May 10, 1984
KIDDER, PEABODY & CO. INCORPORATED
August 17, 1979 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - September 16, 1979
MORGAN STANLEY DW INC.
April 26, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 26, 1970 - June 9, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 2/24/1981
AMEX Put and Call ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
