Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Theresa Douglas is a financial advisor at UBS Financial Services Inc. located in Seattle, WA. She is registered with the state of Washington and has been in the financial industry since 1987. Alice holds Series 63, Series 7 and SIE licenses. She specializes in providing a variety of financial services including retirement planning, investment management, and estate planning. Alice has experience working with individual investors, high-net-worth clients, and institutions. Previously, Alice worked at Piper Jaffray & Co. from 1987 to 2006.
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
WA
08/12/2006 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
01/21/1987 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
IA
Issued 04/19/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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