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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 Tan is a financial advisor with UBS Financial Services Inc. John has been in the industry since 2014, and holds a variety of licenses and registrations, including Series 3, 7, 24, 55, 57TO, 63 and 66. John has worked with several firms in the past including Wells Fargo Securities, LLC, Wells Fargo Prime Services, LLC and KCG Americas LLC. John is registered with the state of New Jersey and New York. John has experience working with clients of all types, including individuals, families, businesses, and institutions. John provides a variety of services, including financial planning, portfolio management, and retirement planning. John is committed to providing his clients with the highest level of service and expertise.
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
NJ
10/26/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
08/01/2017 - 05/08/2018
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
08/21/2014 - 08/30/2017
WELLS FARGO PRIME SERVICES, LLC (NEW YORK NY)
NJ
09/20/2012 - 08/11/2014
KCG AMERICAS LLC (JERSEY CITY NJ)
BOTH
Issued 12/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/12/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/26/2021
Series 24 - General Securities Principal Examination
BC
Issued 02/08/2024
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 05/08/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/19/2012
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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