Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elma? Claim Your ProfileElma Puglisi is a financial advisor with over 30 years of experience in the industry. Elma is currently registered with UBS Financial Services Inc. and has been with the firm since June 2012. Before joining UBS, Elma was a registered representative with JANNEY MONTGOMERY SCOTT LLC for ten years. Elma is a Series 7, Series 63, and Series 66 licensed professional. Elma holds a SIE license as well. Elma has a strong track record of providing financial advice to individuals, corporations, and other institutions. Elma specializes in investment 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
CT
06/29/2012 - Present
UBS Financial Services Inc. (NEW HAVEN CT)
CT
06/14/2002 - 07/11/2012
JANNEY MONTGOMERY SCOTT LLC (NEW HAVEN CT)
NY
03/09/2002 - 06/27/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
11/03/1992 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BOTH
Issued 12/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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