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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 Oscar Fogarty is a financial advisor at UBS Financial Services Inc. in Pasadena, California. John has over 30 years of experience in the financial services industry. John is registered with the state of California and Texas as a registered representative and investment advisor. John has passed the Series 3, 7, 31, and 63, and 65 exams and has a wide range of experience in financial services, including financial planning, portfolio management, and retirement planning. John is also a registered principal with UBS Financial Services Inc. John previously worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Dean Witter Reynolds Inc., Prudential Securities Incorporated, and Smith Barney Inc.
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
01/30/2009 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
04/02/2007 - 02/03/2009
MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)
CA
12/17/2001 - 04/02/2007
MORGAN STANLEY DW INC. (LOS ANGELES CA)
NY
12/22/1997 - 02/26/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
01/16/1995 - 12/16/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 01/13/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
12/23/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/15/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2011
Series 3 - National Commodity Futures Examination
BC
Issued 12/09/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1992
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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