Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Francis Braca is an active Investment Advisor Representative with Wells Fargo Clearing Services, LLC and has been in the financial services industry since February 3, 1980. John's primary office location is in New York, NY. He is registered with FINRA and the states of New Jersey and New York. John has experience with UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, Philips, Appel & Walden, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and First Investors Corporation. John has passed the Series 1, 7, 8, 9, 10, 31, 63, and 65 examinations. John offers investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
10/14/2008 - 02/25/2019
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
04/02/2007 - 10/20/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
08/27/2004 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
07/31/1993 - 09/10/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/09/1984 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
03/23/1981 - 10/28/1987
PHILIPS, APPEL & WALDEN, INC.
NA
09/11/1981 - 08/10/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
02/04/1980 - 04/27/1981
FIRST INVESTORS CORPORATION
IA
Issued 05/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/10/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 03/21/1981
Series 7 - General Securities Representative Examination
BC
Issued 01/25/1980
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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