Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashok? Claim Your ProfileAshok Acharya is a financial advisor with over 20 years of experience in the financial services industry. He is currently a registered representative with UBS Financial Services Inc. Ashok has been with UBS since 2008 and has held previous positions at HSBC Securities (USA) Inc., Chase Investment Services Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Securities Incorporated. He has a wide range of experience in financial planning, portfolio management, and securities sales. Ashok is a dedicated financial advisor who is committed to helping his clients 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
10/20/2008 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
01/08/2007 - 10/22/2008
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
08/11/2003 - 01/03/2007
CHASE INVESTMENT SERVICES CORP. (NEW YORK CITY NY)
NY
04/14/2000 - 05/22/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/21/1998 - 04/10/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/01/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/23/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1998
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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