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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Scaletta is a financial advisor with over 20 years of experience. Carrie is a registered representative with UBS Financial Services Inc. and holds multiple licenses including Series 7, 63, 66 and 99. Carrie is dedicated to providing clients with comprehensive financial advice and planning services including investment management, retirement planning and estate planning. Prior to joining UBS, Carrie worked at Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc.
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
12/09/2019 - Present
UBS Financial Services Inc. (SAN MATEO CA)
CA
07/21/2008 - 10/15/2019
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
CA
04/15/2003 - 07/24/2008
UBS FINANCIAL SERVICES INC. (SAN JOSE CA)
NY
05/08/2000 - 04/25/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 10/22/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/20/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2010
Series 3 - National Commodity Futures Examination
BC
Issued 05/05/2000
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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