Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Schroeder is a financial advisor registered with UBS Financial Services Inc. Brian has been in the industry since 1999. Brian holds Series 63 and 65 licenses as well as Series 7 and SIE exams. Brian currently works in the Weehawken, NJ office. Brian previously worked with Citigroup Global Markets Inc. in North Haven, CT and New York, NY. Brian is registered in Arizona and Colorado as well as with FINRA.
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
NJ
09/27/2010 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
CT
05/29/2007 - 02/14/2008
CITIGROUP GLOBAL MARKETS INC. (NORTH HAVEN CT)
CT
09/13/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (NORTH HAVEN CT)
FL
11/12/2003 - 07/11/2006
ROYAL ALLIANCE ASSOCIATES, INC. (N. MIAMI BEACH FL)
NY
01/18/2001 - 11/07/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
10/01/2000 - 02/01/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
09/21/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 03/07/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1999
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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