Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Lupi is a financial advisor with over 30 years of experience in the industry. He has been registered with the Securities and Exchange Commission since 1986 and has held various positions at several firms, including Dean Witter Reynolds Inc., Mabon, Nugent & Co., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Currently, John is a Managing Director at Stifel Independent Advisors, LLC, where he provides financial planning and portfolio management services to individuals, corporations, and charitable organizations. John holds the Series 65, Series 63, Series 7, Series 10, and Series 9 licenses.
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.
1
2
MO
06/13/2023 - Present
Stifel Independent Advisors, LLC (ST. LOUIS MO)
NJ
08/14/2012 - 06/16/2023
AMERIPRISE FINANCIAL SERVICES, LLC (COLTS NECK NJ)
NJ
10/03/2003 - 08/15/2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (COLTS NECK NJ)
NJ
01/07/1997 - 10/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/31/1989 - 01/29/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
05/12/1987 - 01/19/1989
DEAN WITTER REYNOLDS INC.
NA
12/12/1986 - 04/20/1987
MABON, NUGENT & CO.
NA
08/19/1986 - 12/23/1986
EQUICO SECURITIES, INC.
NA
08/19/1986 - 12/15/1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 09/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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