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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 Davies is a financial advisor at Ameriprise Financial Services, LLC. John has been in the industry since January 1993 and has been registered with Ameriprise since August 2022. Previously, John has been affiliated with UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC. John is a registered representative in Alaska, Arizona, California, Connecticut, District of Columbia, Florida, Georgia, New Jersey, New York, North Carolina, Pennsylvania, Texas, Vermont and Virginia. John is also a registered investment advisor in New York and Texas. John holds the Series 7, Series 63 and Series 65 licenses.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
NY
08/08/2022 - Present
Ameriprise Financial Services, LLC (East Syracuse NY)
NY
10/02/2009 - 08/15/2022
WELLS FARGO CLEARING SERVICES, LLC (SYRACUSE NY)
NY
08/19/1993 - 10/14/2009
UBS FINANCIAL SERVICES INC. (SYRACUSE NY)
NY
02/01/1993 - 08/24/1993
M. GRIFFITH LOCKE INVESTMENT SERVICES INC. (NEW HARTFORD NY)
IA
Issued 03/02/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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