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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 Carroll Prebay is an investment professional with over 30 years of experience in the financial services industry. John is currently registered as a Registered Representative with Stifel, Nicolaus & Company, Inc., and also serves as an Investment Advisor Representative. John holds a variety of licenses and certifications, including Series 7, 63, 31 and SIE. Prior to joining Stifel, John worked at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John specializes in providing financial planning, portfolio management and investment advisory services to individuals and institutions. John is committed to providing his clients with personalized and tailored financial solutions.
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.
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2
MI
08/10/2020 - Present
Stifel, Nicolaus & Company, Inc. (SOUTHFIELD MI)
MI
01/16/2004 - 08/19/2020
UBS FINANCIAL SERVICES INC. (BIRMINGHAM MI)
NY
12/04/1992 - 01/20/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/31/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/01/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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