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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn McAuliffe is an active investment advisor representative, registered in both California and New Jersey. John's career in the financial services industry began in 1977 and has included positions with several prominent firms, including Lehman Brothers Inc., Citigroup Global Markets Inc., and Morgan Stanley & Co. Incorporated. John has a wide range of experience in the industry, including serving as a registered representative, securities industry essentials exam holder, and general securities representative. John is currently a registered representative at Morgan Stanley, where John is based in the Oxnard, California office.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/03/2020 - Present
Morgan Stanley (OXNARD CA)
NY
05/08/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GARDEN CITY NY)
CT
05/29/2007 - 04/29/2008
CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)
NY
03/27/2007 - 05/29/2007
CITICORP INVESTMENT SERVICES (GARDEN CITY NY)
NY
03/09/2005 - 04/25/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
04/14/2003 - 03/09/2005
CITIGROUP GENEVA CAPITAL STRATEGIES INC. (LAGUNA HILLS CA)
NY
07/31/1993 - 04/25/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/29/1980 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/23/1979 - 12/12/1980
MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.
NA
06/01/1977 - 02/23/1979
MOSELEY, HALLGARTEN & ESTABROOK INC
IA
Issued 05/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/23/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1989
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1981
PC - AMEX Put and Call Exam
BC
Issued 05/21/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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