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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 Owen Riggle is a financial advisor with UBS Financial Services Inc. John has been in the industry since 1991, specializing in various financial planning services including portfolio management for businesses and individuals. John has held previous positions with CITIGROUP GLOBAL MARKETS INC., RAYMOND JAMES & ASSOCIATES, INC., and PRUDENTIAL SECURITIES INCORPORATED. John has a state of Florida registration, as well as additional registrations in Georgia, Maryland, New York and Pennsylvania. John has Series 3, 7 and 63 licenses, as well as the Securities Industry Essentials Examination.
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
FL
01/16/2009 - Present
UBS Financial Services Inc. (Winter Park FL)
FL
04/10/1997 - 01/29/2009
CITIGROUP GLOBAL MARKETS INC. (ORLANDO FL)
FL
11/20/1992 - 04/01/1997
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NY
05/29/1991 - 11/24/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 06/10/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/1991
Series 3 - National Commodity Futures Examination
BC
Issued 05/28/1991
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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