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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Kraak is a financial advisor with UBS Financial Services Inc. Deborah has been in the financial industry since February 27, 2001 and holds a number of licenses and registrations including Series 3, 7, 10, 63, 66, and SIE. Deborah is registered to provide advisory services in Illinois and Wisconsin. Deborah has previously worked with J.P. Morgan Securities LLC, Morgan Stanley, and Citigroup Global Markets Inc. Deborah specializes in advising high-net-worth individuals, corporations, and charitable organizations.
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
IL
10/22/2018 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
IL
11/02/2012 - 10/22/2018
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IL
06/01/2009 - 11/05/2012
MORGAN STANLEY (OAK BROOK IL)
IL
02/14/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NY
11/20/2000 - 11/05/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 10/25/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/25/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2006
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/2000
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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