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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Steven Graham is a financial advisor at UBS Financial Services Inc. with over 38 years of experience in the industry. Douglas is registered in 24 states and has a strong track record of providing investment advice and portfolio management services to individual and institutional clients. Douglas has experience working for firms such as Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Wachovia Securities, LLC. Douglas's services include financial planning, investment management, retirement planning, and estate planning. Douglas holds Series 7, Series 63, and Series 65 licenses.
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
01/04/2012 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
06/01/2009 - 09/12/2011
MORGAN STANLEY SMITH BARNEY (HAUPPAUGE NY)
NY
05/14/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HAUPPAUGE NY)
MO
07/01/2003 - 05/19/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/17/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/25/1984 - 01/18/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
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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