Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtney? Claim Your ProfileCourtney Liddy is a financial advisor with over 30 years of experience in the financial services industry. Courtney is a registered representative with UBS Financial Services Inc. and holds Series 6, 7, 31, and 63 licenses, as well as the SIE. Courtney is also a registered investment advisor and holds a Series 65 license. Courtney has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, EquiCo Securities, Inc., and The Equitable Life Assurance Society of the United States. Courtney specializes in working with high-net-worth individuals, corporations, and other businesses. She is also experienced in providing financial planning, portfolio management, and investment advisory services.
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
12/12/2013 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
07/11/1995 - 12/12/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
NY
05/05/1993 - 05/04/1995
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
05/05/1993 - 05/04/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 09/01/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 07/10/1995
Series 7 - General Securities Representative Examination
BC
Issued 05/04/1993
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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