Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Frank Bruzzone is an investment advisor representative with UBS Financial Services Inc. John has been in the financial industry since 1984. John has a Series 7, Series 63, and SIE license. John has been registered with the Securities and Exchange Commission (SEC) since 2009. John is currently registered with the following states: Arizona, Arkansas, California, Colorado, Connecticut, Georgia, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Nevada, New Mexico, New York, North Carolina, Oregon, South Carolina, Texas, Utah, Washington, and West Virginia.
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
03/10/2015 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
06/01/2009 - 03/11/2015
MORGAN STANLEY (Pleasanton CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HAYWARD CA)
CA
06/20/1984 - 04/02/2007
MORGAN STANLEY DW INC. (HAYWARD CA)
BC
Issued 07/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
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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