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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brandy? Claim Your ProfileBrandy Springer is a financial advisor with over 20 years of experience in the industry. Brandy is currently registered with UBS Financial Services Inc. and is licensed to provide financial advice in numerous states across the US. Brandy has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, and Citigroup Global Markets Inc. Brandy holds multiple licenses including Series 3, 7, 9, 10, 63, and 65. Brandy is also a 50/50 partner in Alan Springer Allstate Agency, a privately held business.
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
AR
11/14/2013 - Present
UBS Financial Services Inc. (LITTLE ROCK AR)
AR
11/13/2012 - 10/21/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
AR
06/01/2009 - 11/01/2012
MORGAN STANLEY (LITTLE ROCK AR)
OK
03/26/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BARTLESVILLE OK)
NY
09/16/1999 - 03/10/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/17/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2008
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1999
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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