John Govic

CRD 2395869 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: John Mario Govic

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (15): Series 65Series 63Series 10Series 9Series 53Series 4Series 24Series 31Series 57TOSeries 52TOSeries 16SIESeries 3Series 55Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Aug 3, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Joseph Gunnar & Co. LLC
BD capacity

Apr 1, 2021 → Jun 30, 2022
Joseph Gunnar & Co., LLC
IA capacity

Apr 1, 2021 → Jun 30, 2022
Oppenheimer & Co. Inc.
IA capacity

Jan 2, 2020 → Apr 1, 2021
Oppenheimer & Co. Inc.
BD capacity

May 12, 2017 → Apr 1, 2021
J.P. Morgan Securities LLC
BD capacity

Jul 18, 2014 → Jan 9, 2017
Ubs Financial Services Inc.
IA capacity

Apr 19, 2006 → Jun 23, 2014
Ubs Financial Services Inc.
BD capacity

Apr 18, 2006 → Jun 23, 2014
Maxim Group LLC
BD capacity

May 11, 2004 → Apr 18, 2006
Morgan Stanley Dw Inc.
BD capacity

Nov 26, 2003 → Mar 23, 2004
Andover Brokerage, L.L.C.
BD capacity

Jun 27, 2002 → Oct 24, 2002
Schonfeld Securities, LLC
BD capacity

Jan 31, 1996 → Apr 1, 2002
Investors Associates, Inc.
BD capacity

Apr 5, 1994 → May 23, 1994
Olde Discount Corporation
BD capacity

May 17, 1994 → May 19, 1994

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2395869 ↗ FINRA BrokerCheck record for CRD 2395869 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.