Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Ann Shepherd is a financial advisor with over 20 years of experience in the industry. Barbara is currently registered with UBS Financial Services Inc. in Houston, Texas. Prior to joining UBS, Barbara was employed by Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. in Houston, Texas. Barbara is a licensed securities agent in Texas and holds Series 7, Series 63, and SIE licenses. Barbara's specializations include insurance, investment management, financial planning, estate planning, retirement planning, and college planning.
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
TX
01/08/2009 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
04/02/2007 - 01/09/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
07/15/1997 - 04/02/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
WI
08/21/1995 - 04/08/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
BC
Issued 09/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1995
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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