Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte von Claparede-Crola is a financial advisor with UBS Financial Services Inc. Charlotte has over 5 years of experience in the financial industry. Charlotte has worked at multiple firms including Janney Montgomery Scott LLC, Morgan Stanley, and UBS Financial Services Inc. Charlotte holds a Series 66, Series 7, and SIE license and is registered in 53 states and the District of Columbia for both Broker-Dealer and Investment Advisory activities. Charlotte specializes in portfolio management, financial planning, and providing pension consulting services.
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
DC
01/18/2023 - Present
UBS Financial Services Inc. (WASHINGTON DC)
DC
10/08/2021 - 01/25/2023
MORGAN STANLEY (Washington DC)
DC
09/02/2021 - 11/02/2021
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
05/11/2018 - 08/26/2021
JANNEY MONTGOMERY SCOTT LLC (WASHINGTON DC)
BOTH
Issued 02/01/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2018
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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