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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashany? Claim Your ProfileAshany O Walcott is a financial advisor who has been in the industry since 2006. Ashany is currently registered with UBS Financial Services Inc. Ashany has been working at UBS since 2000. Ashany is registered with the Securities and Exchange Commission (SEC) as an Investment Advisor Representative (IAR). Ashany is also registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative (RR). Ashany holds a number of licenses and certifications, including the Series 3, Series 7, Series 9, Series 10, and Series 66. Ashany is registered to provide investment advice in a number of states, including Alabama, Arkansas, Connecticut, District of Columbia, Florida, Hawaii, Indiana, Maine, Maryland, Massachusetts, Michigan, Montana, Nebraska, New Hampshire, New Jersey, New York, Oklahoma, Oregon, Pennsylvania, South Dakota, Utah, and Vermont.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
BOTH
Issued 11/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/14/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/28/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2009
Series 3 - National Commodity Futures Examination
BC
Issued 09/12/2006
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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