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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 Rotando is a financial advisor with over 30 years of experience in the industry. John is currently registered with Wells Fargo Clearing Services, LLC and has a strong background in investment advisory services. Previously, John has held positions at Morgan Stanley and Banc of America Investment Services, Inc. John has a diverse background and has worked with a variety of clients. John has also completed a number of industry exams including Series 65 and Series 7. John is also a registered investment advisor in Connecticut and Texas. John has experience working with insurance companies, investment companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and other types of accounts.
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
CT
05/03/2016 - Present
Wells Fargo Clearing Services, LLC (GREENWICH CT)
NY
06/01/2009 - 05/13/2016
MORGAN STANLEY (PURCHASE NY)
NY
03/20/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
CT
10/20/2004 - 03/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENWICH CT)
NY
03/10/2004 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NJ
08/19/1994 - 04/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
FL
08/06/1990 - 08/04/1994
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
IA
Issued 06/14/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/07/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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