linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Carolyn Mary Neilson

UBS Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Carolyn? Claim Your Profile

About Carolyn Mary Neilson

Carolyn Neilson is a registered representative at UBS Securities LLC. Carolyn passed the Series 16 exam on June 7, 2023 and is currently registered with the firm. Carolyn Neilson is a Registered Representative for UBS Securities LLC.

Firm Information

Carolyn Neilson is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Carolyn Neilson’s Registration & Firm History

NY

06/21/2023 - Present

UBS Securities LLC (NEW YORK NY)

Not sure if Carolyn Mary Neilson is right for you?

Licenses & Designations

BC

Issued 06/07/2023

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carolyn Mary Neilson.
Not sure if Carolyn Mary Neilson is right for you?