Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Antoinette? Claim Your ProfileAntoinette Doles wong has been in the financial services industry since April 1995 and is currently registered with UBS Financial Services Inc. Antoinette has held previous positions with Morgan Stanley Smith Barney, Citigroup Global Markets Inc, and Citicorp Investment Services. Antoinette is licensed in 52 states and the District of Columbia as a Broker-Dealer and also holds an Investment Advisor designation. Antoinette has expertise in several areas of financial planning including portfolio management for individuals and businesses, pension consulting, and educational seminars.
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
TN
04/05/2018 - Present
UBS Financial Services Inc. (NASHVILLE TN)
CA
02/17/2010 - 07/29/2010
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
06/01/2009 - 12/10/2009
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
05/19/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
09/16/2003 - 05/18/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
11/29/1994 - 06/26/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 03/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/28/1994
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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