Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Virella is a financial advisor with UBS Financial Services Inc. Caroline has been in the financial services industry since February 14, 1998 and has a wide range of experience. Caroline is registered with the state of New Jersey and holds the Series 7, 24, 55, 57TO, and 63 licenses as well as the SIE and Series 65. Caroline has a strong understanding of the financial markets and provides a variety of services to her clients, including financial planning, portfolio management, and investment advice. Caroline is committed to providing her clients with personalized service and helping them achieve their financial goals.
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
12/11/2007 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
PR
12/11/2007 - 08/29/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NJ
12/11/2007 - 01/01/2010
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NY
02/16/2005 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
MO
02/25/2004 - 02/10/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/30/2002 - 11/14/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
01/11/2000 - 10/10/2002
BROADWAY TRADING, LLC (NEW YORK NY)
NY
01/24/1997 - 12/07/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/09/1996 - 11/04/1996
AMERICORP SECURITIES, INC. (NEW YORK NY)
IA
Issued 06/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/08/1996
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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