Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexis? Claim Your ProfileAlexis Zona is a financial advisor currently working with UBS Financial Services Inc. Alexis has been a registered financial advisor since 2018, and has experience working with various clients including high-net-worth individuals, charitable organizations, corporations, and pension and profit-sharing plans. Alexis has passed the Series 66, Series 7, Series 6TO, and SIE exams. They have been registered in 42 states, covering both Broker-Dealer and Investment Advisor scopes. Alexis previously worked with J.P. Morgan Securities LLC and AXA Advisors, LLC, both of which are highly respected financial institutions.
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
CT
03/13/2023 - Present
UBS Financial Services Inc. (STAMFORD CT)
NY
11/24/2021 - 01/25/2022
DALMORE GROUP LLC (New York NY)
CT
11/14/2019 - 07/07/2021
J.P. MORGAN SECURITIES LLC (COS COB CT)
CT
10/16/2018 - 10/07/2019
AXA ADVISORS, LLC (STAMFORD CT)
BOTH
Issued 02/26/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2018
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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