Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan s? Claim Your ProfileAlan Reisfield is an investment advisor representative for UBS Financial Services Inc. Alan has been in the industry since 1993. Alan is registered in 33 states and holds the Series 63, 65, and 7 securities licenses. Prior to joining UBS Financial Services Inc., Alan worked at CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC. Alan specializes in investment advisory services for high-net-worth individuals, businesses, corporations, pension and profit-sharing plans, and charitable organizations. Alan is also registered as an investment advisor representative with UBS Financial Services Inc. in Florida and Texas.
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
02/19/2019 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
07/31/1993 - 05/05/2008
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
07/08/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/28/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/1993
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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