Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfred? Claim Your ProfileAlfred Gerard Novoth is a financial advisor with UBS Financial Services Inc. Alfred has been in the financial services industry since 1986 and has been registered with UBS Financial Services Inc. since May 2007. Alfred is registered to provide investment advice in multiple states including Arizona, California, Connecticut, Florida, Louisiana, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas and Virginia. Prior to working with UBS Financial Services Inc., Alfred worked with CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., MIDAMERICA MANAGEMENT CORPORATION, DEAN WITTER REYNOLDS INC., SHEARSON LEHMAN HUTTON INC., A. G. EDWARDS & SONS, INC., and ASSET MANAGEMENT SECURITIES CORPORATION. Alfred has a strong track record of providing investment advice to a wide range of clients, including individuals, families, businesses, and institutions. Alfred holds Series 7, Series 63 and SIE licenses.
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
FL
05/31/2019 - Present
UBS Financial Services Inc. (BOCA RATON FL)
FL
01/18/2002 - 05/25/2007
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
NY
03/19/1992 - 01/23/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
05/07/1991 - 12/18/1991
MIDAMERICA MANAGEMENT CORPORATION (CEDAR RAPIDS IA)
NY
11/28/1989 - 04/03/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/02/1988 - 12/05/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
10/07/1985 - 01/04/1988
A. G. EDWARDS & SONS, INC.
NA
07/16/1985 - 01/21/1986
ASSET MANAGEMENT SECURITIES CORPORATION
BC
Issued 10/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1985
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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