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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Nelson is a financial advisor with UBS Financial Services Inc. in Austin, Texas. Derek has been working in the financial services industry since 1999. He is registered with the Financial Industry Regulatory Authority (FINRA) and has passed the Series 63, 66, 7, 9, 10, and SIE exams. Derek's previous employment includes JPMorgan Securities LLC and Chase Investment Services Corp. Derek has experience providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and high-net-worth clients.
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
10/22/2021 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
10/01/2012 - 10/24/2021
J.P. MORGAN SECURITIES LLC (AUSTIN TX)
TX
07/06/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
IL
05/24/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
12/07/1999 - 04/21/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 11/06/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/06/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/03/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1999
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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