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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 P. Rufo is a financial advisor who has been working in the financial industry since 1986. John is a registered representative and investment advisor representative with UBS Financial Services Inc. in Philadelphia, Pennsylvania. John has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. John holds a variety of licenses including Series 3, 7, 8, 9, 10, 63, and 65.
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
PA
09/02/2015 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
PA
09/29/2011 - 08/27/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHILADELPHIA PA)
PA
06/01/2009 - 09/26/2011
MORGAN STANLEY SMITH BARNEY (PHILADELPHIA PA)
PA
02/25/1991 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PHILADELPHIA PA)
NA
10/21/1982 - 01/27/1987
BUTCHER & SINGER INC.
IA
Issued 06/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/29/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1996
Series 3 - National Commodity Futures Examination
BC
Issued 09/24/1990
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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