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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Ann Johnson is a financial advisor with over 40 years of experience in the industry. Currently, Patricia is a Registered Representative and Investment Advisor Representative with UBS Financial Services Inc., where she has been since 2012. Before that, Patricia was with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Patricia holds a variety of licenses and certifications including Series 3, 4, 7, 9, 10, 12, 15, 24, 52TO, 63, and 65.
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
12/10/2013 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
06/01/2009 - 10/10/2012
MORGAN STANLEY SMITH BARNEY (PACIFIC PALISADES CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALISADES CA)
CA
02/12/1999 - 04/02/2007
MORGAN STANLEY DW INC. (PALISADES CA)
NY
07/09/1992 - 02/22/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
07/10/1991 - 06/15/1992
DABNEY/RESNICK AND WAGNER, INC. (BEVERLY HILLS CA)
NJ
01/31/1980 - 07/23/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
09/25/1978 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 12/20/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1980
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 12/14/1990
Series 24 - General Securities Principal Examination
BC
Issued 04/11/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 04/26/1980
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/1986
Series 3 - National Commodity Futures Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 09/16/1978
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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