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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 W. Schmitt is a financial advisor with UBS Financial Services Inc. in Chicago, Illinois. John has been in the financial services industry since 1997. John has a wide range of experience in the industry, including previous roles at Merrill Lynch and Morgan Stanley. John holds a Series 65, Series 66, Series 7, Series 3 and SIE licenses. John is registered to provide investment advice in a variety of states and specializes in helping individuals, families, and businesses with their financial planning needs.
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
IL
11/18/2024 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
07/03/2003 - 05/21/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
NY
10/21/1997 - 07/09/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 03/12/2004
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/31/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1997
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1997
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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