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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Aloupis jr is a financial advisor currently registered with UBS Financial Services Inc. Carl has been in the industry since March 16, 2000. Carl is licensed to sell securities in 32 states, with the most recent registration being Texas. Carl also has active registrations with the state of Texas as an Investment Advisor Representative. Carl's previous employment includes Fidelity Brokerage Services LLC, where Carl was registered between March 17, 2000 and January 25, 2013.
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
MA
08/21/2017 - Present
UBS Financial Services Inc. (WELLESLEY MA)
MA
03/17/2000 - 01/25/2013
FIDELITY BROKERAGE SERVICES LLC (FRAMINGHAM MA)
BOTH
Issued 01/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2000
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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