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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 Cowley is a financial advisor with UBS Financial Services Inc. in Brea, CA, with over 25 years of experience in the industry. John is registered in 30 states as a broker-dealer and in three states as an investment advisor. He has also passed the Series 63, 65, 7 and 31 exams. John is a registered representative and investment advisor representative and specializes in areas like portfolio management for businesses and individuals, financial planning and pension consulting.
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
10/17/2014 - Present
UBS Financial Services Inc. (BREA CA)
CA
06/01/2009 - 02/19/2013
MORGAN STANLEY (BREA CA)
CA
11/13/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BREA CA)
IA
Issued 06/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/12/1997
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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