Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barton? Claim Your ProfileBarton Helfet is a financial advisor at UBS Financial Services Inc. Barton has been working in the financial services industry since 2011 and has a strong track record of success. Barton has a comprehensive understanding of the financial markets and is committed to providing clients with personalized financial advice. Barton holds a Series 7, Series 3, Series 10, Series 9, Series 66 and SIE licenses, reflecting their broad experience. Barton is also registered with the states of Arizona, Arkansas, California, Colorado, Connecticut, Florida, Idaho, Kansas, Massachusetts, Montana, Nevada, New Mexico, New York, Tennessee, Texas, and Utah. Barton has experience working with a variety of clients, including individuals, families, businesses, and institutions. Barton is committed to providing clients with the highest level of service and helping them 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
CO
04/03/2024 - Present
UBS Financial Services Inc. (Denver CO)
CA
11/18/2011 - 08/24/2021
MORGAN STANLEY (Walnut Creek CA)
BOTH
Issued 12/22/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/22/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/15/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2014
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/2011
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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