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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Lesshafft is a financial advisor registered with UBS Financial Services Inc. since 2009. Ann Lesshafft has also been registered with Fifth Third Securities, Inc. and Morgan Keegan & Company, Inc. in the past. She is currently licensed in 21 states. Ann Lesshafft holds the Series 63 and Series 66 licenses. Ann Lesshafft is also a Series 7 licensed representative, which means that she can provide investment advice and sell securities. UBS Financial Services Inc. is a large firm with over $50 billion in assets under management. They have a broad range of clients, including high-net-worth individuals, corporations, and institutions. Ann Lesshafft specializes in providing financial planning, investment management, and retirement planning services. She is a highly experienced financial advisor with a proven track record of success.
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
KY
04/13/2009 - Present
UBS Financial Services Inc. (LOUISVILLE KY)
TN
03/16/2001 - 09/12/2001
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
OH
04/18/2000 - 05/18/2001
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
BOTH
Issued 4/10/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/3/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/17/2000
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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