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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 Schimpf is a financial advisor who is registered to provide investment advice in 53 states. Brian has been working in the financial services industry since May 2006. Brian is currently employed by UBS Financial Services Inc. and previously worked at Sanford C. Bernstein & Co., LLC and Berthel, Fisher & Company Financial Services, Inc. Brian has earned the following licenses: Series 63, Series 66, Series 7, Series 22, and SIE. Brian is a highly experienced and licensed financial advisor who can provide a range of services to clients.
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
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
09/17/2010 - 07/23/2015
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
MN
01/30/2006 - 08/31/2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (FAIRFAX MN)
BOTH
Issued 11/04/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2006
Series 7 - General Securities Representative Examination
BC
Issued 01/27/2006
Series 22 - Direct Participation Programs 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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