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 Halperin is an active investment advisor representative (IAR) and a registered representative (RR) at UBS Financial Services Inc. with over 30 years of experience in the financial services industry. John has been registered with UBS since 2009. Prior to that, John worked at Citigroup Global Markets Inc. and Lehman Brothers Inc. John holds the Series 3, 7, 31, 63 and 65 licenses and is registered to sell securities in over 40 states. John is able to provide a wide range of financial services, including financial planning, portfolio management, and securities brokerage.
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
CA
01/25/2010 - Present
UBS Financial Services Inc. (BEVERLY HILLS CA)
CA
07/31/1993 - 03/05/2009
CITIGROUP GLOBAL MARKETS INC. (SHERMAN OAKS CA)
NY
08/31/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 08/28/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 08/04/1992
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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