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JP

John G. Popp

UBS ASSET MANAGEMENT (US)
New York, NY 10010
Some features on this profile are disabled
CRD#: 1497733
JP

Professional summary

John Gerard Popp, who also goes by John G Popp, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John G Popp

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Gerard Popp's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 1, 2024 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 11 Madison Avenue, New York, NY 10010
BD
CRD#: 583
New York, NY
Past

December 10, 2010 - October 1, 2012

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

July 1, 2004 - May 1, 2024

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 1, 2001 - July 7, 2004

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 15654
NEW YORK, NY
Past

September 21, 2000 - January 1, 2001

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

July 13, 1998 - August 14, 2000

FIRST DOMINION SECURITIES, LLC

BD
CRD#: 29665
NEW YORK, NY
Past

September 28, 1992 - November 26, 1997

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

October 18, 1989 - May 18, 1992

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 19, 1988 - October 4, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/1/2024)
RR
Alaska
(5/1/2024)
RR
Arizona
(5/1/2024)
RR
Arkansas
(5/1/2024)
RR
California
(5/1/2024)
RR
Colorado
(5/1/2024)
RR
Connecticut
(5/1/2024)
RR
Delaware
(5/1/2024)
RR
District of Columbia
(5/1/2024)
RR
Florida
(5/1/2024)
RR
Georgia
(5/1/2024)
RR
Hawaii
(5/1/2024)
RR
Idaho
(5/1/2024)
RR
Illinois
(5/1/2024)
RR
Indiana
(5/1/2024)
RR
Iowa
(5/1/2024)
RR
Kansas
(5/1/2024)
RR
Kentucky
(5/1/2024)
RR
Louisiana
(5/1/2024)
RR
Maine
(5/1/2024)
RR
Maryland
(5/1/2024)
RR
Massachusetts
(5/1/2024)
RR
Michigan
(5/1/2024)
RR
Minnesota
(5/1/2024)
RR
Mississippi
(5/1/2024)
RR
Missouri
(5/1/2024)
RR
Montana
(5/1/2024)
RR
Nebraska
(5/1/2024)
RR
Nevada
(5/1/2024)
RR
New Hampshire
(5/1/2024)
RR
New Jersey
(5/1/2024)
RR
New Mexico
(5/1/2024)
RR
New York
(5/1/2024)
RR
North Carolina
(5/1/2024)
RR
North Dakota
(5/1/2024)
RR
Ohio
(5/1/2024)
RR
Oklahoma
(5/1/2024)
RR
Oregon
(5/1/2024)
RR
Pennsylvania
(5/1/2024)
RR
Puerto Rico
(5/1/2024)
RR
Rhode Island
(5/1/2024)
RR
South Carolina
(5/1/2024)
RR
South Dakota
(5/1/2024)
RR
Tennessee
(5/1/2024)
RR
Texas
(5/1/2024)
RR
Utah
(5/1/2024)
RR
Vermont
(5/1/2024)
RR
Virgin Islands
(5/10/2024)
RR
Virginia
(5/1/2024)
RR
Washington
(5/1/2024)
RR
West Virginia
(5/1/2024)
RR
Wisconsin
(5/1/2024)
RR
Wyoming
(5/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 4/19/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/4/1998
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
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.

CRD#: 583 / SEC#: , 8-21901

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

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

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.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583New York, NY 10010

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