Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ann Eriksen is a registered representative and investment advisor representative. Carol Ann Eriksen has been in the industry since February 1996. Carol Ann Eriksen is currently registered with UBS Financial Services Inc., where Carol Ann Eriksen has been employed since January 1999. Prior to that, Carol Ann Eriksen was employed by DAIN RAUSCHER INCORPORATED and PAINEWEBBER INCORPORATED. Carol Ann Eriksen has passed the following securities exams: Series 3, Series 63, Series 7, Series 9, Series 10, Series 66 and the SIE exam. Carol Ann Eriksen is registered with the state of Texas. Carol Ann Eriksen is a financial planner. Carol Ann Eriksen is also a registered representative of UBS Financial Services Inc., which is a registered investment adviser with the Securities and Exchange Commission.
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
TX
01/26/1999 - Present
UBS Financial Services Inc. (HOUSTON TX)
NY
07/17/1998 - 02/19/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NJ
01/17/1996 - 06/03/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 07/25/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1997
Series 3 - National Commodity Futures Examination
BC
Issued 01/16/1996
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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