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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 Shepard Adams is an investment advisor representative with UBS Financial Services Inc. John has been in the securities industry since 1983. John has passed the Series 6, 7, 22, 24, 31, and 63 exams as well as the SIE exam. John also holds registrations in 33 states and is approved for IA registrations in Texas and Washington. John has previously worked with firms such as CITIGROUP GLOBAL MARKETS INC., CIBC WORLD MARKETS CORP., WALNUT STREET SECURITIES, INC., and PRUCO SECURITIES CORPORATION. John is a member of the Advisory Council to Birdlife International Executive.
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
WA
06/15/2007 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
03/20/2000 - 06/29/2007
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
01/02/1998 - 04/10/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
CA
05/20/1994 - 01/13/1998
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NJ
08/01/1983 - 05/25/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 09/02/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
BC
Issued 06/24/1986
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/23/1983
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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