Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allison? Claim Your ProfileAllison Rakes is a financial advisor with UBS Financial Services Inc. Allison has a strong background in the financial services industry. Allison has been in the industry since February 2020 and has a broad range of experience in financial planning, portfolio management, and investment advisory services. Allison is registered to provide investment advice in all 50 states. Allison is also a Series 3, 7, 63 and SIE exam holder. Prior to UBS, Allison worked at Goldman Sachs & Co. LLC in Dallas, Texas.
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
TX
06/20/2024 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
02/21/2020 - 06/27/2024
GOLDMAN SACHS & CO. LLC (Dallas TX)
BC
Issued 05/20/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2024
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/2020
Series 7TO - General Securities Representative Examination
BC
Issued 01/10/2020
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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