Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Andrew Cochrane is a financial advisor with UBS Financial Services Inc. based in Chicago, IL. John has over 30 years of experience in the financial services industry. His current registrations include Series 7, Series 63, and Series 65. John has worked with a variety of clients, including individuals, families, businesses, and institutions. He has experience in providing financial planning, investment management, and retirement planning services. John previously worked at Credit Suisse Securities (USA) LLC, UBS Warburg LLC, Lunn Partners Securities, LLC, and Morgan Stanley & Co., Incorporated. He is also a member of the University of Illinois College of Business Alumni Association Board.
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.
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.
See schedule d - miscellaneous
1
2
IL
12/16/2015 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
05/28/2009 - 12/22/2015
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
04/19/2001 - 06/17/2009
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
07/17/2000 - 05/14/2001
UBS WARBURG LLC (NEW YORK NY)
IL
08/13/1996 - 08/19/1999
LUNN PARTNERS SECURITIES, LLC (CHICAGO IL)
NY
10/31/1990 - 07/09/1996
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 06/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1990
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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