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. Whittle is a financial professional with experience in the financial industry. John has held positions at UBS Securities LLC, UBS Asset Management (US) Inc., and Goldman, Sachs & Co. John is currently registered with Broadridge Business Process Outsourcing, LLC and holds the Series 27, Series 99, and SIE licenses.
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.
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.
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NJ
08/12/2024 - Present
Broadridge Business Process Outsourcing, LLC (Newark NJ)
NY
07/12/2021 - 01/23/2023
UBS SECURITIES LLC (NEW YORK NY)
IL
01/12/2016 - 07/12/2021
UBS ASSET MANAGEMENT (US) INC. (CHICAGO IL)
NY
02/01/2013 - 01/08/2016
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 03/17/2022
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2013
Series 99 - Operations Professional Examination
Active
Inactive
F
FINRA
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