Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Gardiner is a financial advisor with over 40 years of experience in the industry. John is registered with UBS Financial Services Inc. and has a Series 7, Series 63, Series PC and SIE licenses. John has been with UBS Financial Services Inc. since 1995 and is currently registered as a Registered Representative in California. John has previously worked at Kidder, Peabody & Co. Incorporated. John has a history of working with various client types including high-net-worth individuals, corporations or other businesses, individuals other than high-net-worth, and charitable organizations.
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
07/08/1997 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
NY
05/19/1978 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
01/02/1976 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
BC
Issued 06/14/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 12/20/1975
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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