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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 Stephen Garrity is a financial advisor with over 39 years of experience in the financial services industry. John Stephen Garrity is currently registered with UBS Financial Services Inc. and is licensed in 33 states and the District of Columbia. John Stephen Garrity provides financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutions. John Stephen Garrity has a wide range of experience in the financial services industry, having worked for several leading firms including PaineWebber Incorporated, Smith Barney Shearson Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. John Stephen Garrity holds the Series 63, Series 7 and SIE 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.
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
MA
04/12/2004 - Present
UBS Financial Services Inc. (WELLESLEY MA)
NA
03/24/1994 - 04/15/1994
PAINEWEBBER INCORPORATED
NY
07/31/1993 - 03/29/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/22/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
BC
Issued 11/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1983
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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