Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brent? Claim Your ProfileBrent Allan Sawrie is a financial advisor registered with UBS Financial Services Inc. since October 2015. Brent has been in the financial industry since November 1990. Brent previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential Securities Incorporated. Brent Allan Sawrie is a Registered Representative and Investment Advisor Representative with the firm. Brent is licensed to conduct business in Arizona, Arkansas, California, Florida, Nevada, Oregon, Texas, and Washington.
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
NV
01/09/2023 - Present
UBS Financial Services Inc. (RENO NV)
OH
01/03/1996 - 10/20/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBUS OH)
NY
03/20/1992 - 01/11/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
07/20/1989 - 09/10/1990
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
01/24/1989 - 04/18/1989
L.A. BOYKIN & ASSOCIATES, INC.
IA
Issued 10/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1992
Series 3 - National Commodity Futures Examination
BC
Issued 01/21/1989
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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