John Hallgren (CRD# 1792554) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Salt Lake City, UT and has over 30 years of experience in the finance industry.
CRD# 4433677
Uma Financial Services Inc.
Score
101
CRD# 2649450
Uma Financial Services Inc.
Score
101
CRD# 5747247
Morgan Stanley
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Rbc Capital Markets, LLC | Salt Lake City, UT | Sep 2015 - Current | 2 |
| Morgan Stanley Private Bank, National Association | New York, NY | Jan 2015 - Sep 2015 | < 1 |
| Morgan Stanley Smith Barney | Salt Lake City, UT | Jun 2009 - Sep 2015 | 6 |
| Morgan Stanley & Company, Incorporated | Salt Lake City, UT | Apr 2007 - Sep 2015 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1988 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1996 |
- UT
-
Total Assets Under Management106,032MILLIONS
-
Total Number of Accounts254,944ACCOUNTS
-
Average Account Value$415,903
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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