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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 Williams is a financial advisor who has been in the industry since 1995. Currently, Alexander works for UBS Financial Services Inc. Alexander has been registered with UBS Financial Services Inc. since 2009. Prior to that, Alexander worked for MORGAN STANLEY & CO. INCORPORATED from 1995 to 2009. Alexander holds FINRA Series 3, 7, 9, 10, 63, 65, and 66 licenses. Alexander has passed the Securities Industry Essentials (SIE) exam.
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
NY
02/23/2009 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
08/24/1995 - 02/25/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
BOTH
Issued 12/07/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/15/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/10/1995
Series 3 - National Commodity Futures 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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