Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elisabeth? Claim Your ProfileElisabeth Traupman is a financial advisor with UBS Financial Services Inc. Elisabeth has over 15 years of experience in the financial services industry. Elisabeth is registered to provide investment advice in 34 states and the District of Columbia. Elisabeth has a strong track record of providing financial advice to a wide range of clients, including individuals, families, and businesses. Elisabeth specializes in portfolio management, financial planning, and retirement planning.
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
10/29/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
05/27/2016 - 11/01/2021
MORGAN STANLEY (New York NY)
NY
08/09/2010 - 04/21/2016
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
06/01/2009 - 08/16/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
12/04/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
01/05/2006 - 12/04/2007
ICAP SECURITIES USA LLC (JERSEY CITY NJ)
BOTH
Issued 06/28/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/07/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2006
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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