Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Debbie? Claim Your ProfileDebbie Sumiko Fanning is a financial advisor currently registered with UBS Financial Services Inc. located in LOS ANGELES, CA. Debbie has been in the financial services industry since October 23, 1986. Debbie has passed the Series 63, 66 and 7 exams. In addition, Debbie has passed the SIE exam. Debbie has been registered with UBS Financial Services Inc. since November 2007. Before that, Debbie was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from October 24, 1986 to November 23, 2007.
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
11/20/2007 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
10/24/1986 - 11/23/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
BOTH
Issued 04/15/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1986
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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