Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Denise Brodersen is a financial advisor with UBS Financial Services Inc. Caroline is a registered representative and investment advisor representative who has been in the industry since 1984. Caroline holds Series 3, 7, and 63 securities licenses as well as a Series 65 investment advisor license. Caroline is registered in 27 states and offers investment advice to a wide range of clients, including individuals, corporations, charitable organizations, and pension plans. Caroline specializes in financial planning, portfolio management, and retirement planning.
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
CA
01/30/2008 - Present
UBS Financial Services Inc. (SAN JOSE CA)
IA
Issued 02/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1988
Series 3 - National Commodity Futures Examination
BC
Issued 08/18/1984
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
Not sure Caroline Brodersen is the right advisor for you? Invested Better is here to help.
