John Frederick Taphorn

CRD 712728 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Kingwood, TX

IA RegisteredBroker

Also appears in the source record as: John F Taphorn

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 26Series 53Series 24Series 52TOSIESeries 7Series 1
Registered states (32): Alabama · Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Idaho · Illinois · Louisiana · Maine · Maryland · Massachusetts · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Washington · West Virginia
Years in the industry (source record): 46
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Kingwood, TX · IA capacity

Oct 9, 2006 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Kingwood, TX · BC capacity

start not retrieved → present
Ameritas Investment Corp
IA capacity

Jul 13, 2005 → Feb 7, 2006
Ameritas Investment Corp.
BD capacity

May 20, 2005 → Feb 7, 2006
Atlas Securities, Inc.
BD capacity

Oct 6, 2003 → Oct 19, 2004
Chase Investment Services Corp.
BD capacity

Mar 1, 1999 → Sep 17, 2003
Chase Investment Services Corp.
IA capacity

Mar 1, 1999 → Sep 17, 2003
Chase Securities Of Texas, Inc.
BD capacity

Sep 23, 1994 → Mar 1, 1999
Wachovia Brokerage Service
BD capacity

May 31, 1994 → Jun 30, 1994
Gna Securities, Inc.
BD capacity

Mar 22, 1989 → May 31, 1994
First Investors Corporation
BD capacity

Jul 28, 1980 → Feb 17, 1989

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 712728 ↗ FINRA BrokerCheck record for CRD 712728 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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.