Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Julian Vazquez is a financial advisor registered with UBS Financial Services Inc. John is a veteran of the industry, having worked in the field since 1983. John has held several positions at firms such as Prudential Securities Incorporated, Capitol Securities Management, Inc. and Dean Witter Reynolds Inc. John is currently registered in multiple states, including Maryland, New Mexico, and Texas. John is also licensed as an investment advisor representative in Maryland, New Mexico, and Texas.
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
NM
10/26/2004 - Present
UBS Financial Services Inc. (SANTA FE NM)
NY
06/10/1994 - 12/06/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
VA
08/04/1989 - 06/21/1994
CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)
NY
10/23/1984 - 08/08/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
08/25/1983 - 09/28/1984
DEAN WITTER REYNOLDS INC.
IA
Issued 10/05/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/16/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/28/1989
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1986
Series 3 - National Commodity Futures Examination
BC
Issued 11/29/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 11/08/1984
Series 5 - Interest Rate Options Examination
BC
Issued 08/20/1983
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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