Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Cullen is a financial advisor with over 29 years of experience in the financial services industry. John has held positions at several firms, including UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wells Fargo Clearing Services, LLC. John is registered with FINRA and the states of Alabama, Arkansas, California, Colorado, Florida, Georgia, Idaho, Michigan, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. John has passed the Series 7, 9, 10, 63, and 66 exams. John is a Certified Financial Planner™.
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.
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.
Investment consulting services to institutional clients
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.
1
2
SC
05/07/2019 - Present
Wells Fargo Clearing Services, LLC (GREENVILLE SC)
SC
01/21/2009 - 04/09/2019
UBS FINANCIAL SERVICES INC. (GREENVILLE SC)
SC
09/22/1997 - 01/26/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENVILLE SC)
NA
10/08/1993 - 12/13/1994
NATIONSSECURITIES
NY
09/20/1991 - 07/23/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
07/02/1991 - 10/02/1991
F.N. WOLF & CO., INC.
BOTH
Issued 10/13/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/27/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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