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John Govic

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

New York, NY

Westwood, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-08-28
TX RA APPROVED_RES 2022-08-05
NY RA APPROVED 2022-08-03
  • NJ RA
    APPROVED
    Since 2024-08-28
  • TX RA
    APPROVED_RES
    Since 2022-08-05
  • NY RA
    APPROVED
    Since 2022-08-03

Branch Locations

520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • United States

225 Liberty St Pbig - New York, New York, NY 10281 • United States

Westwood, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Jersey City NJ 06/2014 12/2016
Jpmorgan Chase Bank Jersey City NJ 06/2014 12/2016
Unemployed Fort Lee NJ 01/2017 04/2017
Oppenheimer & Co. Inc. New York NY 05/2017 03/2021
Joseph Gunnar & Co., Llc New York NY 04/2021 06/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 07/2022 Present
  • 06/2014 → 12/2016
    J.P. Morgan Securities Llc
    Jersey City, NJ
  • 06/2014 → 12/2016
    Jpmorgan Chase Bank
    Jersey City, NJ
  • 01/2017 → 04/2017
    Unemployed
    Fort Lee, NJ
  • 05/2017 → 03/2021
    Oppenheimer & Co. Inc.
    New York, NY
  • 04/2021 → 06/2022
    Joseph Gunnar & Co., Llc
    New York, NY
  • 07/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
Previous Registrations
  • 2021-04-01 → 2022-06-30
    Joseph Gunnar & Co. Llc
    Uniondale, NY
    Uniondale, NY
  • 2020-01-02 → 2021-04-01
    Oppenheimer & Co. Inc.
    New York, NY
    Saddle Brook, NJ
  • 2006-04-19 → 2014-06-23
    Ubs Financial Services Inc.
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-12-26
S63 Uniform Securities Agent State Law Examination 1994-04-15
  • S65 Uniform Investment Adviser Law Examination
    2019-12-26
  • S63 Uniform Securities Agent State Law Examination
    1994-04-15
Other Names
  • John Mario Govic

View on SEC IAPD

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