Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn D. Kelly is a financial advisor with UBS Financial Services Inc. in Florham Park, NJ. John has over 30 years of experience in the financial services industry and has held prior roles at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and HYM Financial, Inc. John holds multiple FINRA and state licenses and is qualified to provide a range of investment services, including securities, futures, and investment advisory.
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
NJ
09/28/2010 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
06/01/2009 - 10/06/2010
MORGAN STANLEY SMITH BARNEY (SHORT HILLS NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SHORT HILLS NJ)
NJ
09/03/2004 - 04/02/2007
MORGAN STANLEY DW INC. (SHORT HILLS NJ)
NY
04/16/1999 - 09/16/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/10/1994 - 04/26/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
10/14/1989 - 01/11/1994
HYM FINANCIAL, INC. (CLIFTON NJ)
IA
Issued 06/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
BC
Issued 09/28/1989
Series 6 - Investment Company Products/Variable Contracts 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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