Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Clifford Bennet is a financial advisor with UBS Financial Services Inc. with over 40 years of experience in the financial services industry. Douglas is registered with the state of Rhode Island and has a wide range of experience with individual and institutional clients, including corporations, businesses, pension and profit sharing plans, charitable organizations, and high-net-worth individuals. Douglas has extensive experience providing a variety of financial planning services, including portfolio management, retirement planning, education planning, insurance planning, and estate planning. Douglas is a CERTIFIED FINANCIAL PLANNER™ and has been recognized for his commitment to client 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
RI
01/01/1995 - Present
UBS Financial Services Inc. (PROVIDENCE RI)
NY
05/24/1983 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 02/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1993
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1983
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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