John S. Gruner

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CRD#: 1112129

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Scott Gruner, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Estate Planning

Insurance Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)OMEGA CAPITAL CORP / 9144 WITHERS LANE CINCINNATI, OH 45242 / COMPANY / BROADCASTING, MEDIA & PUBLISHING / PART TIME WRITING, PUBLICATION / OTHER PRESIDENT, FOUNDER, OWNER / WRITING, PUBLISHING WRITTEN WORKS / POTENTIAL DEALINGS WITH UBS: NO / START DATE 3/18/1992/ 2) OMEGA CAPITAL CORP / 9144 WITHERS LANE CINCINNATI, OH 45242 / COMPANY / INSURANCE & LIFE ASSURANCE / ADMINISTRATIVE DUTIES ONLY / OTHER PRESIDENT, OWNER / ADMINISTRATION OF EXISTING POLICIES / POTENTIAL DEALINGS WITH UBS: NO / START DATE 3/18/1992/ 1 PER MONTH TOPS HRS. DURING WORKING HRS. 3) GRUNER AS AUTHOR / 9144 WITHERS LANE CINCINNATI, OH 45242 / SOLE PROPRIETORSHIP / OTHER WRITING & PUBLISHING / WRITING & PUBLISHING / SOLE PROPRIETORSHIP / WRITING, RESEARCH, PUBLISHING / POTENTIAL DEALINGS WITH UBS: NO / START DATE 9/05/1994 / 4)INFIDEL PARTNERS / MARKETING FOR NOVEL / CINCINATTI, OH / GENERAL PARTNER, FOUNDER / STATE DATE 6/3/1985. 5)JOHN SCOTT GRUNER / 9144 WITHERS LANE CINCINNATI,OHIO 45242 / SOLE PROPRIETORSHIP/ EDUCATION / EDUCATIONAL RESEARCH & TEACHING / SOLE PROPRIETORSHIP / TEACH/FACILITATE IDENTIFY THEFT EDUCATION / START DATE 12/13/2012 - / 2-3 HOURS PER QUARTER.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Past

September 2, 2010 - July 6, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

September 2, 2010 - December 31, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CINCINNATI, OH

Past

January 2, 2009 - September 2, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CINCINNATI, OH

Past

February 19, 2002 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CINCINNATI, OH

Past

September 27, 1999 - April 20, 2005

OMEGA CAPITAL CORPORATION

RIA

CRD#: 120408

CINCINNNATI, OH

Past

August 18, 1997 - September 2, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CINCINNATI, OH

Past

March 30, 1992 - August 29, 1997

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

January 10, 1986 - April 28, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 24, 1983 - January 4, 1986

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 9/23/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 8/5/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 6/30/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/1992

General Securities Principal Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John S. Gruner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

OMEGA CAPITAL CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

LEHMAN BROTHERS INC.

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1996

Series 63

Date: 4/27/1983

SIE

Date: 10/1/2018

Series 15

Date: 9/23/1983

Series 5

Date: 8/5/1983

Series 3

Date: 6/30/1983

Series 7

Date: 4/16/1983

Series 24

Date: 9/9/1992

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

Contact information

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