Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Gaffney is a financial advisor at UBS Financial Services Inc. John has been in the financial services industry for over 4 years. John has a broad range of experience, having previously worked at Goldman Sachs & Co. LLC and other companies. John holds a Series 66, Series 63, Series 3, Series 7TO, and SIE licenses. John's primary office is located in New York, NY.
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
12/09/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/21/2020 - 05/22/2024
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
BOTH
Issued 06/03/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2020
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/2020
Series 7TO - General Securities Representative Examination
BC
Issued 06/26/2020
SIE - Securities Industry Essentials 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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