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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 Anthony Cirocco is a financial advisor with UBS Financial Services Inc. with over 40 years of experience in the industry. John is registered to provide investment advice in 29 states including New York, Texas and California. In addition to his Series 7, 63, and 15 licenses, John holds the SIE exam. John provides financial planning, pension consulting, educational seminars and portfolio management services to individuals, businesses and charitable organizations. John is based in Purchase, New York.
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
NY
02/06/2017 - Present
UBS Financial Services Inc. (Purchase NY)
NY
09/23/1981 - 09/26/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 09/19/1981
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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