Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Forman is a financial advisor with over 25 years of experience in the industry. Carolyn has a Series 7, Series 8, Series 9, Series 10, Series 63, and Series 3 licenses. Currently, Carolyn works at UBS Financial Services Inc., which is headquartered in Weehawken, NJ, and has over 11,000 registered representatives and 9,200 investment advisor representatives. Prior to joining UBS Financial Services Inc., Carolyn was a registered representative with Prudential Securities Incorporated for over two years. Carolyn has been registered as an Investment Advisor Representative in New York since October 26, 2021, and has been registered as a Broker-Dealer in all 50 states. Carolyn holds specializations in securities, investment advice, and financial planning. UBS Financial Services Inc. has over $700 billion in assets under management and offers various advisory services including financial planning, pension consulting, and portfolio management.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
11/29/1995 - 03/05/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 03/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/04/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/30/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/1995
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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