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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 Dennis Houlihan is a financial advisor with UBS Financial Services Inc. John has been in the financial services industry since June 2, 1994. He is a registered representative and investment advisor representative in Florida and New York. John is also a member of the Buckhead Club. He holds several securities licenses including Series 3, 7, 9, 10, 31, 63 and SIE. John has experience with various investment services including financial planning, portfolio management for businesses and individuals, and pension consulting.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (Purchase NY)
GA
03/19/2012 - 07/16/2015
BARCLAYS CAPITAL INC. (ATLANTA GA)
GA
06/01/2009 - 12/12/2011
MORGAN STANLEY SMITH BARNEY (ATLANTA GA)
GA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ATLANTA GA)
NY
01/01/1994 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
BC
Issued 12/31/1993
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 08/30/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2016
Series 3 - National Commodity Futures Examination
BC
Issued 01/12/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 12/28/1993
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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