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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Bender is a financial advisor with UBS Financial Services Inc. Amy has been in the industry since 2002. Amy is registered in multiple states to provide securities and investment advisory services. Amy holds a variety of licenses, including Series 3, Series 7, Series 9, Series 10, Series 63 and Series 65. Amy also specializes in the areas of portfolio management for individuals and businesses, financial planning, pension consulting and educational seminars. Amy's office is located at The Towers At Kenwood, 8044 Montgomery Road, Ste. 100W, Cincinnati, OH 45236.
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
OH
09/13/2016 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
10/29/2007 - 12/15/2014
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
OH
10/29/2002 - 09/26/2007
ROBERT W. BAIRD & CO. INCORPORATED (CINCINNATI OH)
IA
Issued 03/02/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/15/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/20/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/28/2002
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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