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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 Edward Petrick has over 40 years of experience in the financial services industry. John is currently registered with UBS Financial Services Inc., and has been with the firm since May of 1998. John holds a Series 63, 65, 7, 8, 9, 10, 15, and SIE. Prior to joining UBS, John worked at Prudential Securities Incorporated and Thomson McKinnon Securities Inc. John's areas of specialization include: investment advisory services, financial planning, pension consulting, educational seminars, market timing services, publication of periodicals, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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
10/18/2021 - Present
UBS Financial Services Inc. (SAN MATEO CA)
NY
08/25/1989 - 06/04/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/23/1981 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 05/31/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1981
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 12/05/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1983
Series 5 - Interest Rate Options Examination
BC
Issued 12/02/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 02/21/1981
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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