Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brandon? Claim Your ProfileBrandon Sobel is a financial advisor at UBS Financial Services Inc. Brandon has been in the industry since 2003 and has a strong track record of success in helping clients achieve their financial goals. Prior to joining UBS, Brandon worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Chase Investment Services Corp., NFB Investment Services Corp., Greenpoint Securities LLC, and Fahnestock & Co. Inc. Brandon is licensed to provide investment advice in 25 states and holds both Series 7 and Series 66 licenses. Brandon's specializations include financial planning, pension consulting, and portfolio management for businesses and individuals. Brandon is also active in the community and is passionate about helping others 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
NY
05/13/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
10/14/2016 - 03/22/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/14/2010 - 10/28/2016
MORGAN STANLEY (NEW YORK NY)
NY
08/30/2007 - 05/25/2010
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
01/03/2005 - 08/22/2007
NFB INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
02/24/2004 - 01/03/2005
GREENPOINT SECURITIES LLC (LAKE SUCCESS NY)
NY
01/28/2002 - 10/17/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
BOTH
Issued 02/07/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2002
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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