Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Audrey? Claim Your ProfileAudrey Wood is a financial advisor with UBS Financial Services Inc. Audrey has been in the industry for 22 years. Audrey has worked with several financial firms, including RBC Capital Markets, LLC and Morgan Stanley. Audrey is registered in Maine, Texas, Florida, Massachusetts and New York. Audrey specializes in providing financial advice to individuals and businesses.
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
ME
04/20/2018 - Present
UBS Financial Services Inc. (BANGOR ME)
ME
12/07/2015 - 04/17/2018
RBC CAPITAL MARKETS, LLC (BANGOR ME)
ME
06/01/2009 - 12/04/2015
MORGAN STANLEY (BANGOR ME)
ME
01/02/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BANGOR ME)
ME
09/05/2000 - 01/09/2008
UBS FINANCIAL SERVICES INC. (BANGOR ME)
BOTH
Issued 02/21/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2000
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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