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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 Spillane is a financial advisor with UBS Financial Services Inc. John has been in the industry since 1996 and holds licenses and registrations in multiple states, including Illinois and Texas. John is a highly experienced financial advisor with a long history of working with individuals, families, and businesses. John has a deep understanding of the financial markets and a commitment to providing clients with personalized advice and service.
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
IL
01/26/2016 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
07/01/2003 - 09/19/2008
WACHOVIA SECURITIES, LLC (OAKBROOK IL)
NY
11/24/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/09/1997 - 12/07/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
OH
09/10/1996 - 04/02/1997
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
IA
Issued 06/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 06/09/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1996
Series 6 - Investment Company Products/Variable Contracts 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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