John FairclothCRD Number: 1457929
Current Firm: Ubs Financial Services Inc.
John Faircloth (CRD# 1457929) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Tampa, FL and has over 31 years of experience in the finance industry. John Faircloth has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Ubs Financial Services Inc.||Tampa, FL||Oct 2008 - Current||8|
|Wachovia Securities LLC||Tampa, FL||Jul 2003 - Oct 2008||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1986|
|S65||NASAA Investment Advisors Law Examination||Mar 1994|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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