Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn George Uriostegui is a financial advisor with over 30 years of experience in the industry. John has held various roles at firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC, Deutsche Bank Securities Inc., Citigroup Global Markets Inc., Lehman Brothers Inc. and Dean Witter Reynolds Inc. John is currently registered with Rockefeller Financial LLC. John's expertise is in providing financial planning, pension consulting, selection of other advisers, and portfolio management for businesses and 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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
08/16/2022 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
11/28/2016 - 08/16/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL SEGUNDO CA)
CA
10/14/2011 - 12/01/2016
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
08/23/2006 - 10/24/2011
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
CA
07/31/1993 - 08/25/2006
CITIGROUP GLOBAL MARKETS INC. (EL SEGUNDO CA)
NY
05/22/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/02/1990 - 05/22/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 05/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1992
Series 3 - National Commodity Futures Examination
BC
Issued 07/31/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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