Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Marie Bohmbach is a financial advisor registered with UBS Financial Services Inc. Carol has been active in the securities industry since July 2005. Prior to joining UBS, Carol worked with CREDIT SUISSE SECURITIES (USA) LLC and MORGAN STANLEY. Carol holds Series 7, Series 6, Series 63, and Series 65 licenses and specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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
11/16/2015 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
07/08/2014 - 12/16/2015
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
MA
03/02/2012 - 06/24/2014
MORGAN STANLEY (WESTBOROUGH MA)
MA
01/30/2007 - 03/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WELLESLEY HILLS MA)
MA
06/06/2005 - 01/03/2007
MMC SECURITIES CORP. (NORWOOD MA)
IA
Issued 03/03/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/2006
Series 7 - General Securities Representative Examination
BC
Issued 06/04/2005
Series 6 - Investment Company Products/Variable Contracts 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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