Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Garrity is an investment advisor representative at UBS Financial Services Inc. Cindy has been in the financial services industry since August 2008. Cindy is registered with the state of Delaware and holds Series 6, 7, 63, and 65 licenses. Cindy also holds the Securities Industry Essentials Examination (SIE). Cindy provides financial planning, pension consulting, and educational seminars to individuals, businesses, corporations, charitable organizations, high-net-worth individuals, and other investment advisors. Cindy is also registered with the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Maryland, Michigan, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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
PA
10/04/2022 - Present
UBS Financial Services Inc. (NEWTOWN PA)
PA
10/18/2017 - 10/07/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JENKINTOWN PA)
PA
02/24/2014 - 09/15/2017
CITIZENS SECURITIES, INC. (Ardmore PA)
PA
07/11/2008 - 02/11/2014
PNC INVESTMENTS (WILKES BARRE PA)
IA
Issued 01/07/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2016
Series 7 - General Securities Representative Examination
BC
Issued 07/10/2008
Series 6 - Investment Company Products/Variable Contracts 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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