Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Summer has been an active financial advisor since 1997 and is currently registered with UBS Financial Services Inc. Summer holds a Series 63 and Series 66 license, as well as Series 3, 7, 9, 10 and 24. Summer is also registered with the states of Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Missouri, Nebraska, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Tennessee, Texas, Utah, Vermont, Virginia and Washington. Summer specializes in providing financial advice to high net worth individuals, corporations and other businesses, charitable organizations, pension and profit-sharing plans, and insurance companies.
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
NY
07/01/2010 - Present
UBS Financial Services Inc. (NEW YORK NY)
BOTH
Issued 11/03/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/18/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/11/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/27/1997
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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