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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Breana? Claim Your ProfileBreana Maurais Cole is an Investment Advisor Representative and a Registered Representative with UBS Financial Services Inc. Breana has been in the financial services industry since June 5, 2011, and has been registered with the Securities and Exchange Commission (SEC) since November 13, 2012. She has also passed several industry exams, including the Series 7, Series 63, Series 65, Series 9, and Series 31 exams. Prior to joining UBS Financial Services Inc., Breana worked at Sanford C. Bernstein & Co., LLC in Boston, Massachusetts. Breana holds a number of licenses, including Series 7, Series 9, and Series 31.
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
MA
06/03/2024 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
11/13/2012 - 06/14/2023
SANFORD C. BERNSTEIN & CO., LLC (Boston MA)
BC
Issued 04/01/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/22/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 11/12/2012
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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