Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfred? Claim Your ProfileAlfred Schwab is a financial advisor at UBS Financial Services Inc. Alfred has over 10 years of experience in the financial services industry. Alfred holds the Series 6, 7, 9, 10, 63 and 66 licenses and is a registered representative in Tennessee and New Jersey. Alfred provides financial planning, investment management, and retirement planning services to individuals and families. Prior to joining UBS Financial Services Inc., Alfred was a financial advisor at Northwestern Mutual Investment Services, LLC. Alfred is committed to providing personalized financial advice and helping clients achieve their financial goals.
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
11/21/2023 - Present
UBS Financial Services Inc. (NASHVILLE TN)
TN
04/26/2019 - 03/05/2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NASHVILLE TN)
BOTH
Issued 04/20/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/18/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/16/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 12/17/2021
Series 7TO - General Securities Representative Examination
BC
Issued 04/26/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/15/2019
SIE - Securities Industry Essentials 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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