Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jon? Claim Your ProfileJon Preston Gandy is an investment advisor representative at UBS Financial Services Inc. Jon has over 18 years of experience in the financial industry and has worked with clients in a variety of financial planning needs. Jon has earned his Series 6, 7 and 63, and 66 licenses, and has also earned the SIE. Jon holds a broad range of specializations, including securities, commodities, and fixed insurance. Jon has previously worked as an advisor with Wells Fargo Advisors.
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
08/02/2024 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NC
01/14/2013 - 04/19/2024
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
BOTH
Issued 08/02/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/07/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2017
Series 7 - General Securities Representative Examination
BC
Issued 01/11/2013
Series 6 - Investment Company Products/Variable Contracts 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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