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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 Charles Willis is a financial advisor with over 20 years of experience in the industry. He is currently registered with UBS Financial Services Inc. as an Investment Advisor Representative in California and Texas. Before joining UBS, John was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2005 to 2013 and Citigroup Global Markets Inc. from 2002 to 2005. John has experience serving a wide range of client types, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and insurance companies. John's expertise includes providing financial planning, portfolio management, and educational seminars.
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
CA
10/03/2013 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
12/02/2005 - 10/04/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TEMECULA CA)
CA
08/23/2002 - 12/08/2005
CITIGROUP GLOBAL MARKETS INC. (ORANGE CA)
IA
Issued 09/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2002
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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