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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 Earle Neff is a financial advisor at UBS Financial Services Inc. John has been in the industry since 1980 and has experience with securities and commodities. John is registered with FINRA and is licensed in 26 states. John is also an investment advisor representative for the firm.
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
TX
08/14/2000 - Present
UBS Financial Services Inc. (AUSTIN TX)
NY
02/19/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
03/02/1998 - 03/02/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
10/23/1989 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
09/06/1988 - 10/26/1989
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
03/15/1983 - 09/26/1988
SHEARSON LEHMAN HUTTON INC.
NA
08/22/1980 - 03/21/1983
ROTAN MOSLE INC.
BC
Issued 08/26/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 10/03/1983
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/1980
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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