Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Sergio Bohon is a financial professional with over 35 years of experience in the financial services industry. Jose is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative and Investment Advisor Representative. Jose's previous experience includes roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., and Morgan Stanley DW Inc. Jose is a Certified Financial Planner (CFP®) professional and holds a variety of licenses and designations including Series 3, 7, 8, 9, 10, 63, and 65. Jose has a broad range of experience serving individuals, high-net-worth clients, corporations, and institutions.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
09/08/2014 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
12/04/2009 - 10/07/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIVERSIDE CA)
CA
07/24/2006 - 03/17/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
08/19/1986 - 06/21/2006
MORGAN STANLEY DW INC. (IRVINE CA)
IA
Issued 01/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/31/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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