Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorian? Claim Your ProfileDorian Lisa Waserman is a financial advisor at UBS Financial Services Inc. Dorian Lisa Waserman is a registered representative with FINRA and has 25 years of experience in the financial services industry. Dorian Lisa Waserman works with a variety of clients, including individuals, families, trusts, and businesses. Dorian Lisa Waserman provides financial planning, investment management, and retirement planning services. Dorian Lisa Waserman is also a registered investment advisor representative. Dorian Lisa Waserman holds a Series 7, 63, 66, 9, 10 and SIE licenses. Prior to joining UBS Financial Services Inc., Dorian Lisa Waserman was a financial advisor at Wells Fargo Clearing Services, LLC and Oppenheimer & Co. Inc.
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
FL
11/16/2021 - Present
UBS Financial Services Inc. (Plantation FL)
FL
04/01/2014 - 10/29/2021
WELLS FARGO CLEARING SERVICES, LLC (FORT LAUDERDALE FL)
FL
11/21/2007 - 03/28/2014
UBS FINANCIAL SERVICES INC. (BOCA RATON FL)
FL
06/20/2005 - 08/24/2007
OPPENHEIMER & CO. INC. (FORT LAUDERDALE FL)
MO
07/01/2003 - 05/06/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/12/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 10/01/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/04/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/15/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/1998
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
Not sure Dorian Waserman is the right advisor for you? Invested Better is here to help.
