Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Alton has been in the financial services industry since October 24, 1991. Barbara currently works at UBS Financial Services Inc. in the Mount Laurel, NJ branch. Barbara is licensed in 19 states as a Broker-Dealer and Investment Advisor. Prior to joining UBS Financial Services Inc., Barbara was employed by CITIGROUP GLOBAL MARKETS INC. from July 31, 1993 to December 5, 2008 and LEHMAN BROTHERS INC. from October 25, 1991 to July 31, 1993. Barbara is a Series 3, 7, 8, 9, 10, 63 and 65 licensed representative. Barbara has a long history of experience in the financial services industry and has served a variety of clients, including individuals, families, businesses, and institutions.
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
05/26/2023 - Present
UBS Financial Services Inc. (MT. LAUREL NJ)
MA
07/31/1993 - 12/05/2008
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
10/25/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/30/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1995
Series 3 - National Commodity Futures Examination
BC
Issued 10/24/1991
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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