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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 Lionel Ullen is a financial advisor registered with Morgan Stanley. John is active in the financial industry since 1983 and holds Series 63, 65, 7 and 8 licenses. John has a strong background in providing financial advice to individuals and families, businesses and institutions. John has experience working with clients in a range of financial situations and is committed to helping them achieve their financial goals. John is passionate about providing personalized service and helping clients make informed decisions about their financial future. John has been with Morgan Stanley since 2009 and has worked at several other financial institutions prior to that. John is a trusted advisor who is dedicated to providing the highest level of service to all of his clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/09/2011 - Present
Morgan Stanley (Woodland Hills CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WOODLAND HILLS CA)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/24/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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