Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colette? Claim Your ProfileColette Kathleen Powers is a registered representative with UBS Financial Services Inc. Powers has been in the financial industry since April 22, 2012. Powers is licensed to provide investment advice and has a Series 66 license, which allows to give investment advice in multiple states. Powers is registered in 14 states. Powers also has a Series 7 license which allows to sell a variety of investment products, including stocks, bonds, mutual funds, and options. In addition to Powers's series 66 and series 7 licenses, also holds a Series 65 license, which allows to provide investment advice to individuals and families. Powers has been with UBS Financial Services Inc. since May 2012. The firm has been in business since 1980 and has over 6,000 employees. They manage over $700 billion in assets for individual and institutional clients. Powers serves clients in a variety of areas, including financial planning, retirement planning, and investment management.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (SYRACUSE NY)
BOTH
Issued 07/17/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2012
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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