Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claire? Claim Your ProfileClaire Marie Carter is a financial advisor affiliated with UBS Financial Services Inc. Claire has been working in the financial services industry since August 2017 and is registered to provide investment advice in New Jersey and New York. Claire holds a Series 66 license, which allows her to provide investment advice in both the broker-dealer and investment advisory contexts. She is also licensed as a Series 7, Series 9 and Series 10 which are qualifications for Broker-Dealer registrations. Claire is a highly qualified financial advisor with a strong track record of success. She has a passion for helping her clients achieve their financial goals, and she is committed to providing them with the highest level of service. In addition to her financial advisory work, Claire is also a yoga instructor.
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
NJ
09/06/2017 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
BOTH
Issued 09/05/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2017
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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