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John Gerard Popp

UBS Asset Management (us) Inc.

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About John Gerard Popp

John Gerard Popp is a financial advisor with UBS Asset Management (us) Inc. John has been in the financial services industry since December 2, 1989. John holds the Series 7, Series 24, Series 28, Series 52TO, Series 99TO, and SIE licenses. John is registered in 53 states and the District of Columbia.

Firm Information

John Popp is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John Popp’s Registration & Firm History

NY

05/01/2024 - Present

UBS Asset Management (us) Inc. (New York NY)

NY

07/01/2004 - 05/01/2024

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

12/10/2010 - 10/01/2012

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC (NEW YORK NY)

NY

01/01/2001 - 07/07/2004

CREDIT SUISSE ASSET MANAGEMENT SECURITIES, INC. (NEW YORK NY)

NJ

09/21/2000 - 01/01/2001

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

07/13/1998 - 08/14/2000

FIRST DOMINION SECURITIES, LLC (NEW YORK NY)

NY

09/28/1992 - 11/26/1997

INDOSUEZ CAPITAL SECURITIES, INC. (NEW YORK NY)

NY

10/18/1989 - 05/18/1992

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

10/19/1988 - 10/04/1989

DREXEL BURNHAM LAMBERT INCORPORATED

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Licenses & Designations

BC

Issued 11/22/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/04/1998

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 04/25/1996

Series 24 - General Securities Principal Examination

BC

Issued 04/19/2024

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Gerard Popp.
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