Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Sue Graves is a registered representative with UBS Financial Services Inc. She has been in the financial services industry since May 1999. Deborah has held a variety of positions with several firms, including Ameritrade, Inc., TD Ameritrade, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Deborah is licensed to sell securities in Texas and is also registered as an investment advisor representative in Texas. She specializes in financial planning, portfolio management for individuals and businesses, and pension consulting. Deborah has earned the Series 63, 66, 7, 4, 10, and 24 licenses. She is also a member of the SIE program. Deborah is committed to providing her clients with personalized financial advice and 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
TX
02/20/2009 - Present
UBS Financial Services Inc. (FT. WORTH TX)
TX
06/14/2007 - 02/23/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT WORTH TX)
TX
01/26/2006 - 06/11/2007
TD AMERITRADE, INC. (FORT WORTH TX)
NE
01/03/2002 - 01/30/2006
AMERITRADE, INC. (OMAHA NE)
NE
05/05/1999 - 12/31/2001
AMERITRADE (BELLEVUE NE)
BOTH
Issued 12/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2006
Series 4 - Registered Options Principal Examination
BC
Issued 09/08/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1999
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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