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Detailed Report
JOHN OSCAR FOGARTY JR
JOHN O FOGARTY
CRD#: 2245102
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (5 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 2001 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 1997 (2 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (<1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2007 (5 years)
Disclosure(s)
View By:
7/13/2009
Customer Dispute
Withdrawn
1/15/1998
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/30/2009
B
New Hampshire 7/27/2017
B
Arkansas 12/10/2019
B
New Jersey 1/30/2009
B
California 1/30/2009
B
New York 1/30/2009
IA
California 2/3/2009
B
North Carolina 9/6/2017
B
Colorado 1/30/2009
B
Ohio 1/30/2009
B
Connecticut 1/30/2009
B
Oklahoma 9/5/2018
B
Delaware 10/15/2020
B
Oregon 1/30/2009
B
Florida 1/30/2009
B
Pennsylvania 8/30/2013
B
Georgia 1/30/2009
B
Puerto Rico 10/25/2024
B
Hawaii 1/30/2009
B
Rhode Island 1/30/2009
B
Idaho 1/4/2013
B
South Carolina 9/6/2017
B
Illinois 3/26/2019
B
Tennessee 1/30/2009
B
Indiana 1/30/2009
B
Texas 1/30/2009
B
Kentucky 2/2/2024
IA
Texas 1/30/2009
B
Maine 2/27/2019
B
Utah 12/3/2021
B
Maryland 10/7/2014
B
Vermont 9/27/2019
B
Massachusetts 1/30/2009
B
Virginia 1/30/2009
B
Montana 12/13/2021
B
Washington 6/12/2013
B
Nebraska 11/19/2019
B
Wisconsin 3/26/2019
B
Nevada 1/30/2009
B
Wyoming 11/17/2021

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 1/30/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Registered with this firm since 1/30/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 02/03/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 04/02/2007 - 02/03/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
IA
 01/15/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LOS ANGELES, CA
B
 12/17/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LOS ANGELES, CA
B
 12/22/1997 - 02/26/2001 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 01/16/1995 - 12/16/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 01/13/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 12/23/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.