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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Corinne? Claim Your ProfileCorinne Carroll is a financial advisor at UBS Financial Services Inc. in Los Angeles, California. Corinne has been in the financial industry for over 15 years and has experience working with a variety of clients, including individuals, families, businesses, and institutions. Corinne specializes in providing financial planning, investment management, and retirement planning services. Corinne is also a Registered Representative and Investment Advisor Representative. She has a Series 7, Series 3, Series 63, and Series 66 licenses. She is also a Registered Principal with UBS Financial Services Inc. and a Member of FINRA and SIPC.
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
CA
06/04/2020 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
02/10/2017 - 07/17/2019
FIRST REPUBLIC SECURITIES COMPANY, LLC (LOS ANGELES CA)
CA
09/24/2008 - 02/21/2017
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
CA
09/22/2008 - 10/08/2008
BARCLAYS CAPITAL INC. (LOS ANGELES CA)
CA
06/02/2006 - 09/22/2008
LEHMAN BROTHERS INC. (LOS ANGELES CA)
BOTH
Issued 03/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2006
Series 3 - National Commodity Futures Examination
BC
Issued 06/01/2006
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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