Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy L. Gindlesperger is a financial advisor with over 20 years of experience in the industry. She has worked for UBS Financial Services Inc. since 2002 and has a strong track record of helping clients achieve their financial goals. Dorothy specializes in providing financial planning and portfolio management services to individuals, businesses, and charitable organizations. She is registered with the state of Ohio and holds the Series 7 and Securities Industry Essentials (SIE) licenses. Dorothy is committed to providing her clients with personalized advice and exceptional service.
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
OH
08/26/2004 - Present
UBS Financial Services Inc. (CLEVELAND OH)
MN
09/04/2003 - 08/24/2004
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NJ
07/10/2002 - 06/26/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2002
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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