John Gerard Popp
Professional Summary
John Gerard Popp, who also goes by John G Popp, is a registered financial advisor currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John G Popp
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
Contact Information
Main Address
1285 Avenue Of The Americas, New York, NY 10019Mailing Address
1285 Avenue Of The Americas, New York, NY 10019Phone Number
(212) 821-3000Established
Delaware since 05/05/1977Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Apr 2024About the Series 52TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 1998About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Gerard Popp's CRS (Customer Relationship Summary).
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