John Francis F. Raisley
Professional summary
John Francis Francis Raisley, who also goes by John Francis Raisley, is a registered financial professional currently at UBS SECURITIES LLC located in New York, New York.
John Francis is registered as a RR (Registered Representative) and started their career in finance in 1987. John Francis has worked at 12 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Francis Francis Raisley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2024 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010March 8, 2022 - December 19, 2023
CREDIT SUISSE SECURITIES (USA) LLC
March 2, 2017 - January 31, 2022
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
January 14, 2015 - March 2, 2016
CITIGROUP GLOBAL MARKETS INC.
May 30, 2013 - March 2, 2016
CITIGROUP GLOBAL MARKETS INC.
February 24, 2011 - December 6, 2011
M. R. BEAL & COMPANY
January 4, 2010 - February 23, 2011
LUCID CAPITAL MARKETS, LLC
December 3, 2004 - August 24, 2009
CANTOR FITZGERALD & CO.
March 6, 2000 - November 11, 2003
ELECTRONIC TRADING GROUP, LLC
January 2, 1997 - March 13, 2000
ABN AMRO INCORPORATED
August 15, 1995 - January 2, 1997
THE CHICAGO CORPORATION
September 25, 1990 - July 22, 1995
S.G. WARBURG & CO. INC.
May 21, 1987 - September 6, 1990
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2024)
(1/31/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/25/2000
Limited Representative-Equity Trader Exam24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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