Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexis? Claim Your ProfileAlexis Prokop is a financial advisor with UBS Financial Services Inc., a firm that manages over $700 billion in assets. Alexis has been a financial advisor since 2011 and is registered with FINRA and the state of New Jersey, New York and Texas. Alexis specializes in providing financial planning and investment advice to high-net-worth individuals, corporations, and other businesses.
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
11/15/2017 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
10/02/2014 - 11/06/2017
MORGAN STANLEY (GARDEN CITY NY)
CO
09/13/2011 - 09/24/2014
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
BOTH
Issued 10/24/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/29/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2011
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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