Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anne? Claim Your ProfileAnne Marie Spitzer is a financial advisor with over 30 years of experience in the financial services industry. Anne Marie is currently registered with UBS Financial Services Inc. She is also a licensed Series 7, 31, and 66 representative and holds a Series 63 license. Anne Marie has worked at several other prominent firms including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Dain Rauscher Incorporated, Piper Jaffray Inc., Paine Webber Incorporated and Dean Witter Reynolds Inc. Anne Marie specializes in providing a wide range of investment services to individual and institutional clients, including portfolio management, financial planning, and retirement planning.
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
AZ
11/03/2010 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
06/01/2009 - 10/06/2010
MORGAN STANLEY SMITH BARNEY (TEMPE AZ)
AZ
06/09/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
AZ
06/16/2000 - 06/12/2006
WACHOVIA SECURITIES, LLC (PHOENIX AZ)
NY
02/16/1999 - 06/27/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
MN
08/16/1993 - 03/04/1999
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NJ
09/04/1990 - 11/26/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/03/1988 - 09/28/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/28/1988 - 10/12/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BOTH
Issued 03/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 01/16/1988
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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