Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn William Lisy is a financial advisor with UBS Financial Services Inc. John has been in the industry since 1987. John is a Chartered Financial Analyst and holds several licenses, including Series 7, 3, 31, 63, 66, 9, and 10. John is registered to provide investment advice in 28 states and the District of Columbia.
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
10/03/2011 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
07/02/1987 - 03/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
NA
09/24/1986 - 05/08/1987
E. F. HUTTON & COMPANY INC
BOTH
Issued 11/11/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1986
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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