Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtney? Claim Your ProfileCourtney Nicole Pia is a financial advisor who has been working in the industry since November 4, 2017. Courtney is currently registered with UBS Financial Services Inc. in Westport, Connecticut and Stratford, Connecticut. Prior to joining UBS Financial Services Inc., Courtney was registered with MML Investors Services, LLC. Courtney has passed the Uniform Combined State Law Examination (Series 66), the Securities Industry Essentials Examination (SIE), and the General Securities Representative Examination (Series 7). Courtney is registered in 12 states and has a total of 11 approved state registrations and 1 approved FINRA registration. Courtney has experience working with a variety of client types including individuals, high net worth individuals, corporations, charitable organizations, and pension and profit sharing plans. Courtney is a specialist in helping clients with a variety of financial needs, 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
CT
05/24/2018 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
10/23/2017 - 05/07/2018
MML INVESTORS SERVICES, LLC (SHELTON CT)
BOTH
Issued 05/21/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2017
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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