Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Marone is a registered representative with UBS Financial Services Inc. Carrie has been in the securities industry since 1996. Carrie has experience with a number of firms including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, A. G. Edwards & Sons, Inc., G.F.B. Securities, Inc. and The Harriman Group, Inc. Carrie has a broad range of experience providing financial advice and services to individuals, businesses, and institutions. Carrie is licensed to provide investment advice in various states including California, Florida, Massachusetts, New Jersey, and New York.
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. (MELVILLE NY)
NY
06/01/2009 - 11/29/2010
MORGAN STANLEY SMITH BARNEY (HAUPPAUGE NY)
NY
09/15/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HAUPPAUGE NY)
NY
12/15/2003 - 09/25/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SMITHTOWN NY)
MO
07/07/1997 - 10/31/2003
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
05/24/1996 - 01/22/1997
G.F.B. SECURITIES, INC. (EAST MEADOW NY)
NY
03/26/1996 - 06/05/1996
THE HARRIMAN GROUP, INC. (JERICHO NY)
BC
Issued 02/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/22/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1996
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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