Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtney? Claim Your ProfileCourtney Kershaw is a financial advisor with over 10 years of experience in the financial services industry. Courtney is currently registered with UBS Financial Services Inc. and has held previous positions with Raymond James & Associates, Inc., Wedbush Securities Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Courtney is a Series 66, 9 and 10 licensed advisor and is registered to provide financial advice in Arizona, California, Colorado, Florida, Georgia, Idaho, Iowa, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, and Texas.
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
01/10/2020 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
12/02/2011 - 06/08/2018
RAYMOND JAMES & ASSOCIATES, INC. (BEVERLY HILLS CA)
CA
02/23/2011 - 12/15/2011
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
06/01/2009 - 03/11/2011
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
CA
08/22/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHERMAN OAKS CA)
BOTH
Issued 09/05/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/19/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/26/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2008
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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