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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Lacks is a financial advisor with UBS Financial Services Inc. Brian has been in the financial services industry for over 30 years, having previously worked for Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc. and PaineWebber Incorporated. Brian is registered to provide investment advice in over 30 states and specializes in portfolio management for individuals and businesses. Brian is a Series 66, Series 65, Series 63, Series 3, Series 7, and SIE licensed professional. Brian holds a FINRA Series 66 license with UBS Financial Services Inc. and is a registered Investment Advisor (IA) representative.
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
08/17/2021 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
04/02/2007 - 12/08/2008
MORGAN STANLEY & CO. INCORPORATED (MELVILLE NY)
NY
05/16/2003 - 04/02/2007
MORGAN STANLEY DW INC. (MELVILLE NY)
NY
08/13/1996 - 05/19/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/28/1992 - 08/15/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 08/17/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/05/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2001
Series 3 - National Commodity Futures Examination
BC
Issued 09/24/1992
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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