Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Sebastian Derosa is a financial advisor with UBS Financial Services Inc., where they have been employed since November 2010. John Derosa has been active in the financial services industry since October 1985. They are licensed to provide investment advice in New York and Texas.
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
NY
11/17/2010 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
12/07/2007 - 12/08/2010
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
11/11/2002 - 12/18/2007
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/29/1999 - 11/25/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
03/29/1995 - 12/07/1999
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NJ
01/01/1991 - 03/09/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
09/21/1990 - 01/01/1991
ROTAN MOSLE INC.
NY
04/27/1988 - 09/27/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
12/08/1986 - 05/20/1988
OPPENHEIMER & CO., INC.
NA
09/24/1985 - 12/02/1986
MOSELEY SECURITIES CORPORATION
IA
Issued 11/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
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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