John A. Ogorzalek
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 Albert Ogorzalek, who also goes by John A Ogorzalek, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 9 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2006 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 1995 - March 9, 2006
ADVEST, INC.
June 3, 1994 - June 7, 1994
A. G. EDWARDS & SONS, INC.
February 4, 1992 - March 8, 2006
ADVEST, INC.
January 31, 1992 - February 4, 1992
ADVEST, INC.
March 7, 1988 - February 10, 1992
LEGG MASON WOOD WALKER, INCORPORATED
April 10, 1984 - February 27, 1988
MOSELEY SECURITIES CORPORATION
March 31, 1983 - March 27, 1984
FAHNESTOCK INTERNATIONAL INC.
September 2, 1980 - April 4, 1983
LEHMAN BROTHERS INC.
January 10, 1979 - June 2, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 25, 1978
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 1, 1976 - September 25, 1978
SIGNATOR INVESTORS, INC.
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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 8/26/1976
Registered Representative ExaminationSeries 8
Date: 7/3/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
