Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John patrick? Claim Your ProfileJohn patrick Spatola is a financial advisor with over 15 years of experience in the industry. John patrick has worked for several firms, including Goldman Sachs & Co., Nomura Securities International, Inc., and UBS Securities LLC. John patrick is a licensed Series 7, Series 24, Series 3, Series 55, and Series 63 representative. John patrick is currently registered with UBS Securities LLC in New York, NY.
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.
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.
1
2
NY
05/15/2013 - Present
UBS Securities LLC (NEW YORK NY)
NY
10/04/2011 - 04/05/2013
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
10/07/2010 - 06/08/2011
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
07/07/2006 - 07/23/2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
03/01/2006 - 12/12/2007
SLK INDEX SPECIALISTS, LLC (NEW YORK NY)
NY
02/13/2006 - 03/06/2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
BC
Issued 12/10/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2020
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2011
Series 7 - General Securities Representative Examination
BC
Issued 09/03/2010
Series 3 - National Commodity Futures Examination
BC
Issued 12/07/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/30/2006
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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