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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 J. Moran is a financial advisor with UBS Financial Services Inc. John Moran has been in the financial services industry since January 19, 1994. John Moran is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). John Moran holds the Series 7, Series 31, Series 63, and Series 65 licenses. John Moran specializes in providing financial advice to high-net-worth individuals, corporations, and other businesses. John Moran's previous employers include Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. John Moran is a member of the UBS Financial Services Inc. team in the San Jose, CA office.
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
01/02/2009 - Present
UBS Financial Services Inc. (SAN JOSE CA)
CA
04/02/2007 - 01/06/2009
MORGAN STANLEY & CO. INCORPORATED (CUPERTINO CA)
CA
01/20/1994 - 04/02/2007
MORGAN STANLEY DW INC. (CUPERTINO CA)
IA
Issued 08/02/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/19/1994
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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