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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emmee? Claim Your ProfileEmmee Sarmiento Ferguson is an Investment Advisor Representative with UBS Financial Services Inc. Emmee has been in the industry since April 1999. Emmee is registered in 28 states and holds the Series 7, 9, 63, and 65 licenses, as well as the SIE. Emmee has also passed the General Securities Sales Supervisor - Options Module Examination. Emmee is a member of the Providence TrinityCare Hospice Foundation Finance Committee. Emmee is experienced in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations.
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
CA
08/03/2015 - Present
UBS Financial Services Inc. (El Segundo CA)
IA
Issued 05/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1999
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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