Best Investors Account Sign in

John Joseph Halloran

Wells Fargo Clearing Services, LLC

Beverly, MA

Ipswich, MA

Manchester, NH

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2021-09-30
FL RA APPROVED 2021-09-21
  • NH RA
    APPROVED
    Since 2021-09-30
  • FL RA
    APPROVED
    Since 2021-09-21

Branch Locations

138 Conant St 4Th Fl, Beverly, MA 01915 • United States

Ipswich, MA • United States

900 Elm St Ste 700, Manchester, NH 03101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Andover MA 04/2013 09/2021
Wells Fargo Clearing Services, Llc. Manchester NH 09/2021 Present
Previous Registrations
  • 2013-04-17 → 2021-10-12
    Ubs Financial Services Inc.
    Andover, MA
    Peabody, MA
    Estero, FL
    Estero, FL
    Ipswich, MA
    Essex, MA
  • 2009-10-28 → 2013-04-19
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Burlington, MA
    Winchester, MA
    Burlington, MA
    Burlington, MA
    Ipswich, MA
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Winchester, MA
    Stoneham, MA
    Burlington, MA
    Burlington, MA
  • 2003-07-29 → 2004-10-20
    Quick & Reilly, Inc.
    Acton, MA
  • 1998-11-18 → 2003-05-06
    Citizens Securities, Inc.
    Manchester, NH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-20
S63 Uniform Securities Agent State Law Examination 1993-05-24
  • S65 Uniform Investment Adviser Law Examination
    1998-10-20
  • S63 Uniform Securities Agent State Law Examination
    1993-05-24

View on SEC IAPD

Other Firms

EASTERLY INVESTMENT PARTNERS LLC
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC
BROOKWOOD ADVISORS, LLC
US ADVISORY GROUP
MARIPAU WEALTH MANAGEMENT LLC
COMMONWEALTH FINANCIAL NETWORK
TD PRIVATE CLIENT WEALTH LLC
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Other Investors

PAUL BRADLEY CITARELL
RICHARD A. SNOW
BURNS MCNEIL LOWRY
JOSHUA SCHACHTER
JOSE DEJESUS CERVANTES
David Robert MacDougall
JANELL PHILLIPS
JAMES R MCCALL

Other Offices

EASTERLY INVESTMENT PARTNERS LLC · BEVERLY, MA
IPSWICH INVESTMENT MANAGEMENT COMPANY, INC · BEVERLY, MA
BROOKWOOD ADVISORS, LLC · BEVERLY, MA
US ADVISORY GROUP · BEVERLY, MA
MARIPAU WEALTH MANAGEMENT LLC · Danvers, MA
COMMONWEALTH FINANCIAL NETWORK · Danvers, MA
MARIPAU WEALTH MANAGEMENT LLC · Danvers, MA
TD PRIVATE CLIENT WEALTH LLC · Beverly, MA

More in Beverly, MA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor