Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Donald? Claim Your ProfileDonald Spencer Peterson is a financial advisor with UBS Financial Services Inc. located in Dallas, TX. Donald has been in the financial industry since 1992. He has been registered with UBS Financial Services Inc. since 2002. Donald has passed the Series 3, 7, 63 and 65 exams. He is registered in several states, including Texas, Oklahoma, Pennsylvania, and New York. Donald specializes in a range of financial services, including portfolio management for businesses and individuals, financial planning, and pension consulting.
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
11/08/2002 - Present
UBS Financial Services Inc. (DALLAS TX)
NY
01/13/2001 - 11/26/2002
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
06/17/1999 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NY
11/13/1992 - 06/15/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/06/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2003
Series 3 - National Commodity Futures Examination
BC
Issued 11/10/1992
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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