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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 Calhoun Sterritt is a financial advisor with UBS Financial Services Inc. John has been in the industry since 1986 and has a wide range of experience in the financial services industry. John is registered with the state of North Carolina and is a member of FINRA. John has a strong track record of success in helping clients achieve their financial goals. Prior to UBS Financial Services Inc., John worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and MML Investors Services, Inc.. John has held various licenses and has passed several exams including the Series 6, 7, 10, 31, 63, 65, and 66 exams.
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
NC
11/23/2011 - Present
UBS Financial Services Inc. (ASHEVILLE NC)
NC
04/25/1990 - 11/25/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ASHEVILLE NC)
MA
06/30/1986 - 03/20/1990
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 07/14/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/07/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/1986
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 12/19/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
BC
Issued 06/26/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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