Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Brookfield is a financial advisor with over 28 years of experience in the financial services industry. Anthony has been with UBS Financial Services Inc. since December 2015, and prior to that worked with Credit Suisse Securities (USA) LLC. Anthony is a registered representative and investment advisor representative in California, Texas, and Utah. Anthony holds Series 3, 7, 9, 10, 63, and 65 licenses. Anthony is also a partner in Saintsbury Winery, a wine business located in Napa, California. Anthony's areas of expertise include financial planning, portfolio management, and pension consulting.
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
CA
02/28/2020 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/22/2006 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
11/14/2003 - 06/22/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
05/02/2001 - 12/02/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
05/12/1998 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
05/11/1995 - 03/24/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/25/1993 - 05/12/1993
PRIME CHARTER LTD. (NEW YORK NY)
NY
02/12/1992 - 03/05/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1995
Series 3 - National Commodity Futures Examination
BC
Issued 02/11/1992
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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