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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 Swasey Jr. is a financial advisor with over 50 years of experience in the industry. He is currently registered with UBS Financial Services Inc. and holds a variety of licenses and certifications. John Swasey Jr. has worked with KIDDER, PEABODY & CO. INCORPORATED and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED in the past. John Swasey Jr. specializes in providing financial planning, portfolio management, and investment advice to individuals, businesses, and institutions.
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
NY
07/16/2007 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/19/1978 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
04/04/1975 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
NA
07/25/1972 - 02/27/1975
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 03/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/16/1988
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 04/30/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/29/1985
Series 24 - General Securities Principal Examination
BC
Issued 03/20/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/20/1979
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1989
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 07/21/1972
Series 1 - Registered 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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