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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 Victor Lipari is an investment advisor representative at UBS Financial Services Inc. John has been in the securities industry since 1982 and has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney, Harris Upham & Co., Incorporated, Shearson Lehman Hutton Inc., Drexel Burnham Lambert Incorporated, Morgan Stanley & Co. Incorporated, Morgan Stanley and UBS Financial Services Inc. John holds the Series 3, 7 and 63 securities licenses, as well as the SIE exam. John is registered to conduct business in multiple states and has experience working with high-net-worth individuals, corporations, pension plans and charitable organizations.
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
CA
01/18/2022 - Present
UBS Financial Services Inc. (Sherman Oaks CA)
CA
06/01/2009 - 12/17/2014
MORGAN STANLEY (WOODLAND HILLS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WOODLAND HILLS CA)
CA
09/26/1997 - 04/02/2007
MORGAN STANLEY DW INC. (WOODLAND HILLS CA)
NY
01/17/1990 - 09/18/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/19/1988 - 01/27/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
11/11/1983 - 01/12/1989
SHEARSON LEHMAN HUTTON INC.
NA
09/24/1982 - 11/04/1983
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 07/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1982
Series 3 - National Commodity Futures Examination
BC
Issued 09/18/1982
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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