Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn P. O'Leary is a financial professional with over 30 years of experience in the industry. John is a registered representative with UBS Financial Services Inc., having joined the firm in 2009. Prior to that, John was with Wachovia Securities, LLC and Zachary Jackson Securities, LP, among others. John has a strong background in securities and investment advisory services and holds a variety of licenses and designations including Series 7, Series 24, Series 31, and Series 63.
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
06/12/2023 - Present
UBS Financial Services Inc. (New York City NY)
NJ
05/10/2001 - 02/24/2009
WACHOVIA SECURITIES, LLC (MOUNTAINSIDE NJ)
NJ
04/23/1997 - 05/08/2001
ZACHARY JACKSON SECURITIES, LP (SPRINGFIELD NJ)
NY
12/14/1994 - 03/24/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/20/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
06/09/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 7/2/1993
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 7/1/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/18/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 6/8/1993
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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