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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Schwam is a financial advisor with UBS Financial Services Inc. Eric has been working in the financial services industry since 1999. Eric holds Series 3, 7, 9, 10, 12, 24, 52TO, 53, 55, and 63 licenses. Eric is also a registered Investment Advisor in both New Jersey and New York. Eric has experience working with a variety of clients, including individuals, high-net-worth individuals, businesses, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Eric is based in New York, NY.
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
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
06/01/2009 - 11/18/2015
MORGAN STANLEY (NEW YORK NY)
NY
10/04/2004 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NE
08/26/2003 - 05/05/2004
AMERITRADE, INC. (OMAHA NE)
NE
10/22/2002 - 08/18/2003
ICAPITAL MARKETS LLC (OMAHA NE)
NJ
06/30/2001 - 10/14/2002
DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NE
11/26/1999 - 06/30/2001
DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)
IA
Issued 04/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/14/2005
Series 12 - NYSE Branch Manager Examination
BC
Issued 11/15/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/22/2000
Series 4 - Registered Options Principal Examination
BC
Issued 03/06/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2008
Series 3 - National Commodity Futures Examination
BC
Issued 07/03/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/24/1999
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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