John Henry Hug, financial advisor New York NY
103 score

John Henry Hug

CRD Number: 3114010
Current Firm: Ubs Financial Services Inc.
Compensation Model: Both

John works as a financial advisor in UBS' Flagship office in New York City.

He has a specialty in Equity Compensation. In fact, he is one of a select few advisors nationwide that the firm designates as a Corporate Stock Benefit Consultant.

 

He travels extensively across the country as a member of UBS' Equity Plan Advisory Network in helping to educate and create financial plans for Senior and Mid level executives of Fortune 500 companies.

 

Prior to joining UBS in 2008, John served as an Associate at Lehman Brothers and Associate Group Director at Signature Securities, the investment management arm of Signature Bank. He helps to leverage the firm’s resources in advising corporations and their employees with their entire financial picture.

 

He is a graduate of Hobart College and the Delbarton School.

 

 

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Company Name Location Dates Years
Ubs Financial Services Inc. New York, NY Nov 2013 - Current 3
Ubs Financial Services Inc. New York, NY Sep 2008 - Nov 2013 5
Barclays Capital Inc. New York, NY Sep 2008 - Sep 2008 < 1
Lehman Brothers New York, NY Apr 2006 - Sep 2008 2
Exam Code Name Passed Date
S7 General Securities Representative Examination (GS) Mar 2001
S66 NASAA Uniform Combined State Law Examination Oct 2001
Contact Info for John Henry Hug
Phone Number: 212-713-4371
Advisor Website: http://ubs.com/fa/johnhug
Registered State(s):
  • TX
  • CA
  • CT
  • FL
  • MO
  • IL
  • OH
  • NJ
  • NY
  • MA
  • VA
  • MD
  • PA
  • NC
  • DC
  • MN
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
103
Verified Page
Data verified by both the advisor and the public regulatory data.
Clean Record
This advisor has a clean track record with regulators.

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