Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allan? Claim Your ProfileAllan Stuart Fields is a financial advisor who has been in the industry since 1964. Allan is currently registered with UBS Financial Services Inc. in Miami, Florida. Allan has previously worked at UBS International Inc. in New York, New York, UBS PaineWebber Inc. in Weehawken, New Jersey, Prudential Securities Incorporated in New York, New York, Bache Halsey Stuart Inc., Bache & Co Incorporated, Bache & Co., Incorporated, and Hayden Stone Inc. Allan holds the following licenses: Series 63, Series 7TO, SIE, PC and Series 1. Allan is also registered in the following states: Florida, New Jersey, New York and Ohio.
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
01/01/2010 - Present
UBS Financial Services Inc. (MIAMI FL)
NY
07/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
04/28/2000 - 07/12/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
09/16/1977 - 05/08/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
04/08/1974 - 02/27/1976
BACHE & CO., INCORPORATED
NA
12/02/1964 - 03/21/1974
HAYDEN STONE INC.
BC
Issued 04/19/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 11/30/1964
Series 1 - Registered 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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