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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Perlberg is an investment advisor representative at UBS Financial Services Inc.. Alan has been a registered representative in the securities industry since April 1983 and is currently registered with UBS Financial Services Inc. in New Jersey and Texas. Alan has a long history of experience in the financial services industry. Previously, Alan was an advisor at Morgan Stanley and Citigroup Global Markets Inc. and earlier at Lehman Brothers Inc. Alan has a broad range of experience and holds the Series 63, Series 65, Series 7, Series 15 and SIE licenses. Alan provides a range of investment advisory services to individuals, corporations, other businesses, pension and profit-sharing plans, charitable organizations and other clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
01/03/2014 - Present
UBS Financial Services Inc. (SHORT HILLS NJ)
NJ
06/01/2009 - 04/25/2013
MORGAN STANLEY (SHORT HILLS NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHORT HILLS NJ)
NY
04/20/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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