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 Raisley is a securities professional with over 30 years of experience in the financial services industry. John has held positions at several prominent firms, including UBS Securities LLC, Credit Suisse Securities (USA) LLC, Industrial and Commercial Bank of China Financial Services LLC, and Citigroup Global Markets Inc. John currently holds a Series 7, Series 63, Series 9, Series 10, Series 24, Series 4, Series 55, Series 57TO and SIE licenses. John is a registered representative in New York and New Jersey.
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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2
NY
01/31/2024 - Present
UBS Securities LLC (NEW YORK NY)
NY
03/08/2022 - 12/19/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
03/02/2017 - 01/31/2022
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC (NEW YORK NY)
NY
05/30/2013 - 03/02/2016
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/24/2011 - 12/06/2011
M. R. BEAL & COMPANY (NEW YORK NY)
NY
01/04/2010 - 02/23/2011
SURKIS INCORPORATED (NEW YORK NY)
NY
12/03/2004 - 08/24/2009
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
03/06/2000 - 11/11/2003
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
CT
01/02/1997 - 03/13/2000
ABN AMRO INCORPORATED (STAMFORD CT)
IL
08/15/1995 - 01/02/1997
THE CHICAGO CORPORATION (CHICAGO IL)
NY
09/25/1990 - 07/22/1995
S.G. WARBURG & CO. INC. (NEW YORK NY)
NY
05/21/1987 - 09/06/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 01/12/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2018
Series 4 - Registered Options Principal Examination
BC
Issued 06/17/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/30/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2010
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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