Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emily? Claim Your ProfileEmily Catherine Ettie is a registered representative with UBS Financial Services Inc. Emily has been in the industry since 2022. Emily has passed the Series 7TO, Series 66 and SIE exams. Emily has 31 state registrations and is licensed to conduct business in Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, Wisconsin and Wyoming. Emily is also a registered Investment Advisor in Illinois. Prior to joining UBS Financial Services Inc., Emily worked at MORGAN STANLEY and M1 FINANCE LLC.
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
IL
08/09/2024 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
01/13/2023 - 08/06/2024
MORGAN STANLEY (Chicago IL)
IL
03/04/2022 - 01/09/2023
M1 FINANCE LLC (CHICAGO IL)
BOTH
Issued 07/29/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/04/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/04/2021
SIE - Securities Industry Essentials 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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