Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Randolph Johnsen is a financial advisor with UBS Financial Services Inc. Carl has over 26 years of experience in the financial services industry. Carl is registered to provide investment advisory services in three states: Texas, Nevada and Hawaii. In addition to offering investment advisory services, Carl is also registered with FINRA and is a Series 7, Series 31 and SIE licensed representative. Carl's previous work experience includes positions at Morgan Stanley, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Carl is dedicated to providing comprehensive financial planning and investment management services to individuals, businesses, and institutions.
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
OR
10/28/2013 - Present
UBS Financial Services Inc. (LAKE OSWEGO OR)
OR
06/01/2009 - 11/14/2013
MORGAN STANLEY (LAKE OSWEGO OR)
OR
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAKE OSWEGO OR)
OR
04/13/2006 - 04/02/2007
MORGAN STANLEY DW INC. (LAKE OSWEGO OR)
OR
09/05/1997 - 04/27/2006
CITIGROUP GLOBAL MARKETS INC. (PORTLAND OR)
IA
Issued 09/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/1997
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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