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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 Schmitt is an active broker and investment advisor representative with UBS Financial Services Inc. John is a seasoned professional with over 30 years of experience in the financial services industry, including previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, WELLS FARGO ADVISORS, LLC, and JOSEPHTHAL & CO., INC. John is registered in 21 states and holds a range of licenses and qualifications, including Series 66, Series 63, Series 31, Series 7, and the Securities Industry Essentials Examination.
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
NJ
08/25/2017 - Present
UBS Financial Services Inc. (WESTFIELD NJ)
NJ
01/18/2008 - 12/02/2011
WELLS FARGO ADVISORS, LLC (SUMMIT NJ)
NJ
02/12/1998 - 01/23/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SHORT HILLS NJ)
NY
10/12/1991 - 11/18/1996
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
01/22/1990 - 10/23/1991
JOSEPHTHAL & CO., INC.
NA
11/22/1988 - 01/29/1990
J. T. MORAN & CO., INC.
NA
01/02/1990 - 01/27/1990
HANIFEN, IMHOFF SECURITIES CORP.
NA
08/31/1989 - 01/02/1990
MOORE & SCHLEY, CAMERON & CO.
NA
11/21/1984 - 11/28/1988
JOSEPHTHAL & CO., INCORPORATED
BOTH
Issued 07/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1984
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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