Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Michelle Mathis Keener is a financial advisor registered with UBS Financial Services Inc. Dana has over 20 years of experience in the financial services industry. Dana holds Series 6, 7, 63, and 66 licenses, and is licensed in North Carolina and South Carolina. Dana specializes in providing financial planning, investment management, and retirement planning services. Dana has a strong understanding of the financial needs of individuals and families and is committed to helping clients achieve their financial goals.
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
NC
04/28/2009 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
05/24/2005 - 05/06/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NC
02/18/2004 - 02/10/2005
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
10/10/2002 - 03/26/2004
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
BOTH
Issued 08/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/09/2002
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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