Articles Tagged with John Kettman

John KettmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that California-based Merrill Lynch broker/adviser John Kettman has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kettman (CRD# 2136900).

John Kettman has spent 26 years in the securities industry and has been registered with Merrill Lynch in San Jose, California since 2009. Previous registrations include Banc of America Investment Services in Saratoga, California (2004-2009); Morgan Stanley DW in Purchase, New York (1994-2004); Merrill Lynch in New York, New York (1991-1994); and FN Wolf & Company (1991). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 29, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on March 9, 1995; Series 7 (General Securities Representative Examination), which he obtained on May 31, 1991; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 20, 1997. He is a registered broker and investment adviser with 15 US states: Arizona, California, Colorado, Connecticut, Florida, Indiana, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Texas, and Washington.

According to his BrokerCheck report, he has received three customer complaints.

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