Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Herbert Grefe has been in the industry since 1999 and is currently registered with Daiwa Capital Markets America Inc. in New York, NY. John has a wide range of experience in the financial industry and is a licensed securities principal in many states. John has worked with a number of firms including Lloyds Securities, Credit Agricole Securities (USA) Inc., Barclays Capital Inc., UBS Financial Services Inc., and UBS International Inc.
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.
1
2
NY
05/22/2023 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
NY
09/09/2013 - 06/02/2023
LLOYDS SECURITIES (NEW YORK NY)
NY
07/30/2012 - 09/10/2013
CREDIT AGRICOLE SECURITIES (USA) INC. (NEW YORK NY)
NY
04/30/2010 - 08/07/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/01/2010 - 04/30/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
08/23/2006 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
11/03/2005 - 08/18/2006
BNY INVESTMENT CENTER INC. (NEW YORK NY)
MA
10/20/2004 - 11/02/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
01/07/2004 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
CA
09/20/1999 - 01/02/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MA
08/19/1999 - 09/13/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
BOTH
Issued 06/09/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2012
Series 14 - Compliance Officer Examination
BC
Issued 04/25/2008
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/02/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/20/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/16/2004
Series 4 - Registered Options Principal Examination
BC
Issued 04/09/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/21/2000
Series 24 - General Securities Principal Examination
BC
Issued 12/17/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2007
Series 3 - National Commodity Futures Examination
BC
Issued 07/13/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/05/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/18/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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