Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex James Wozniak is an investment advisor representative at UBS Financial Services Inc. Alex is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to sell securities in North Carolina and Texas. Alex has a Series 7, Series 66 and SIE license. Alex has experience in the financial services industry since 2023, with prior experience at Lockheed Martin. UBS Financial Services Inc. is a leading wealth management firm with more than $50 billion in assets under management. UBS Financial Services Inc. offers a variety of financial services including portfolio management, financial planning, and investment advisory services.
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
NC
05/12/2023 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
BOTH
Issued 10/06/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/17/2022
SIE - Securities Industry Essentials 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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