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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 Joseph OBrien is a financial advisor with UBS Financial Services Inc. John Joseph OBrien has been in the financial services industry since March 7, 1995. John Joseph OBrien is registered with the Securities and Exchange Commission (SEC) as a Registered Representative (RR) and Investment Advisor Representative (IAR). John Joseph OBrien has passed the Series 3, 7, 8, 63, 65, and 66 exams. John Joseph OBrien has worked at UBS Financial Services Inc. since 2011. John Joseph OBrien's prior affiliations include WELLS FARGO ADVISORS, LLC, PAINEWEBBER INCORPORATED, J.C. BRADFORD & CO., SMITH BARNEY INC., LEHMAN BROTHERS INC. and E. F. HUTTON & COMPANY 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.
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
NC
06/21/2021 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
04/11/2008 - 11/02/2011
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NJ
08/14/2000 - 10/27/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/20/1996 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
07/31/1993 - 10/01/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/24/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 04/17/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2008
Series 7 - General Securities Representative Examination
BC
Issued 10/20/1987
Series 3 - National Commodity Futures 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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