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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashley? Claim Your ProfileAshley Waddington Hartley is a financial advisor with UBS Financial Services Inc., based in GAINESVILLE, FL. Ashley has over 10 years of experience in the financial services industry. Ashley specializes in providing financial planning and investment advice to individuals, families, and businesses. Ashley has a strong understanding of the financial markets and a commitment to helping clients achieve their financial goals. Ashley is a registered representative of UBS Financial Services Inc., and holds the Series 7, 9, 10, 63, and 66 licenses. Ashley is also a member of the Board of Directors of the Ronald McDonald House Charities of North Central Florida.
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
FL
08/20/2015 - Present
UBS Financial Services Inc. (GAINSVILLE FL)
FL
03/02/2012 - 08/24/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GAINESVILLE FL)
FL
07/29/2011 - 02/28/2012
WELLS FARGO ADVISORS, LLC (GAINESVILLE FL)
FL
05/10/2010 - 07/07/2010
AXA ADVISORS, LLC (GAINESVILLE FL)
MN
08/04/2009 - 12/24/2009
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
BOTH
Issued 04/02/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2009
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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