Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Kenneth Doke is a financial advisor who has been in the industry since April 15, 1993. John is currently registered with UBS Financial Services Inc. John has held previous positions with KIDDER, PEABODY & CO. INCORPORATED and PRUDENTIAL SECURITIES INCORPORATED. John has a strong background in financial planning, portfolio management, and investment advisory services.
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
TX
01/28/1995 - Present
UBS Financial Services Inc. (DALLAS TX)
NY
05/27/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
04/16/1993 - 05/27/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1999
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/1993
Series 7 - General Securities Representative Examination
BC
Issued 11/01/1991
Series 52 - Municipal 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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