Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl W. Litsch is a financial advisor with UBS Financial Services Inc. Carl has been in the industry since 2004. Carl has a strong background in the securities industry and is dedicated to providing clients with personalized financial advice. Carl has worked at several notable financial institutions such as Citigroup Global Markets Inc., Morgan Stanley, and Santander Securities LLC. Carl is a registered representative of both FINRA and the state of New Hampshire. Carl specializes in providing financial planning, portfolio management for individuals and businesses, as well as pension consulting and educational seminars.
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
12/23/2020 - Present
UBS Financial Services Inc. (Weehawken NJ)
NY
07/30/2020 - 12/11/2020
DALMORE GROUP LLC (WOODMERE NY)
NH
01/22/2019 - 02/17/2020
WATCHDOG CAPITAL, LLC (Portsmouth NH)
MA
03/14/2016 - 06/27/2017
SANTANDER SECURITIES LLC (DORCHESTER MA)
NY
06/01/2009 - 03/28/2016
MORGAN STANLEY (SYRACUSE NY)
MA
05/14/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
BOTH
Issued 06/10/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 02/26/2019
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/23/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/27/2017
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2003
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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