Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Robert Dixon is a financial advisor with over 40 years of experience in the financial services industry. John is currently registered with Wells Fargo Clearing Services, LLC and has previously been registered with UBS Financial Services Inc. and Rotan Mosle Inc. John holds a number of licenses including Series 3, 5, 63, 65 and 7 and specializes in providing financial advice to individual and business clients. John has also served as a trustee for his spouse's investment related business and on the Finance Committee for the First Christian Church of Port Arthur, TX. John currently lives in Beaumont, TX and manages investments for clients in multiple states.
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
TX
11/01/2019 - Present
Wells Fargo Clearing Services, LLC (BEAUMONT TX)
TX
01/01/1991 - 11/12/2019
UBS FINANCIAL SERVICES INC. (BEAUMONT TX)
NA
10/23/1980 - 01/01/1991
ROTAN MOSLE INC.
IA
Issued 10/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1997
Series 3 - National Commodity Futures Examination
BC
Issued 10/05/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/18/1980
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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