John R. Ores
Professional summary
John Richard Ores, CFA is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. John has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Richard Ores's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 25, 2021 - Present
TOCQUEVILLE ASSET MANAGEMENT LP
Office #1: 40 West 57th Street 19th Floor, New York, NY 10019February 28, 2017 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/10/2024)
(8/25/2021)
Exams
FINRA
Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
Red Flags
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