John Taphorn
John Taphorn is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Kingwood, TX, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
600 Rockmead Dr, Kingwood, TX, 77339
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
John has an outside business activity since 2017, dedicating minimal time to it. The nature of the business is not investment-related.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Ameritas Investment CORP
Ameritas Investment CORP.Broker
Atlas Securities, INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Chase Securities of Texas, INC.Broker
Wachovia Brokerage ServiceBroker
Gna Securities, INC.Broker
First Investors CorporationBroker
State Registrations32 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.