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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Swatzell is a financial advisor with UBS Financial Services Inc. Alexander has been in the securities industry since June 12, 2017. Alexander has a total of 30 approved state registrations, including Tennessee, Texas, and others. Alexander has been registered with UBS Financial Services Inc. since May 2023. Alexander is a Certified Financial Planner™ and holds the Series 6, Series 7TO, Series 63, Series 65, and Series 66 licenses. Alexander also has experience as a licensed insurance agent. Alexander is a member of FINRA.
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
TN
03/12/2024 - Present
UBS Financial Services Inc. (JOHNSON CITY TN)
NJ
09/27/2005 - 03/20/2006
PRUCO SECURITIES, LLC. (NEWARK NJ)
BOTH
Issued 09/29/2023
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/28/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2005
Series 6 - Investment Company Products/Variable Contracts 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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