Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Taft is an investment advisor representative who has been in the financial services industry for over 30 years. Alexander is registered with UBS Financial Services Inc. and has been associated with them since August 1989. Alexander holds a Series 3, 7, and 63 license. Alexander is also a registered Investment Advisor Representative in California, Oklahoma, and Texas. Alexander's firm, UBS Financial Services Inc., manages over $700 billion in assets and has over 1 million client accounts.
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
CA
03/23/1993 - Present
UBS Financial Services Inc. (Mill Valley CA)
WI
06/20/1989 - 07/27/1989
NML EQUITY SERVICES, INC. (MILWAUKEE WI)
WI
06/20/1989 - 07/27/1989
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 10/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/1990
Series 3 - National Commodity Futures Examination
BC
Issued 06/17/1989
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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