Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn B. Lawler is an active financial advisor who is registered with both Broker-Dealers and Investment Advisers. John is a registered representative of Oppenheimer & Co. Inc., a firm based in New York. He has been active in the financial services industry since November 12, 1991 and previously worked at Morgan Stanley. John has passed the Series 63, Series 66 and Series 7 examinations. John is registered with the states of New York and New Jersey.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
03/28/2022 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
02/15/2013 - 08/30/2019
MORGAN STANLEY (NEW YORK NY)
NY
11/13/1991 - 02/25/2013
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 03/25/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1991
Series 7 - General Securities Representative Examination
Active
Inactive
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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