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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arlene? Claim Your ProfileArlene Roome is a financial advisor with UBS Financial Services Inc. in Weehawken, New Jersey. Arlene has been in the financial industry since August 16, 2007, and has worked with clients from a range of backgrounds, including individuals, businesses, and institutions. She holds several professional certifications, including the Series 7, 9, 10, 24, 63, and SIE exams. She is also registered as a financial advisor in the state of New Jersey. Arlene is committed to providing her clients with personalized financial advice that is tailored to their unique needs. She believes in building long-term relationships with her clients and providing them with the guidance they need to achieve their financial goals.
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
NJ
05/31/2018 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
04/07/2014 - 06/06/2018
MORGAN STANLEY (PURCHASE NY)
NY
01/11/2006 - 04/26/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MN
10/06/2004 - 02/10/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/06/2004 - 02/10/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 02/27/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/30/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2004
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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