Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Richard Dolloff is a financial professional with over 35 years of experience in the industry. John is currently registered with UBS Financial Services Inc. John has previously worked at KIDDER, PEABODY & CO. INCORPORATED, R.D. SMITH & COMPANY, INC., and KIRKPATRICK SECURITIES, INC. John is a licensed Investment Advisor Representative in both Maine and Texas, and holds Series 7, Series 63, and Series 65 licenses. John is also a Trustee for the Maine Audubon Society. John specializes in providing financial planning, portfolio management, and pension consulting services to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations.
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
ME
08/12/2013 - Present
UBS Financial Services Inc. (PORTLAND ME)
NY
09/05/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
09/15/1987 - 07/03/1989
R.D. SMITH & COMPANY, INC.
NA
11/21/1984 - 06/30/1986
KIRKPATRICK SECURITIES, INC.
IA
Issued 01/29/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
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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