Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cesare? Claim Your ProfileCesare Monti is a financial advisor with UBS Financial Services Inc., a firm that manages over $700 billion in assets. Cesare has been in the industry since 1999 and holds a series of licenses and certifications, including Series 3, 7, 9, 10, 63 and 65. Cesare's previous experience was with UBS Securities LLC. Cesare Monti is registered to provide investment advice and brokerage services in multiple states.
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
TX
02/12/2013 - Present
UBS Financial Services Inc. (HOUSTON TX)
CT
03/25/1999 - 01/30/2012
UBS SECURITIES LLC (STAMFORD CT)
IA
Issued 2/11/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/7/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/26/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 3/11/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/2016
Series 3 - National Commodity Futures Examination
BC
Issued 3/24/1999
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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