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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erica? Claim Your ProfileErica Beth Asada is a financial advisor registered with UBS Financial Services Inc. Erica has been in the financial services industry since April 22, 2001 and has been associated with UBS Financial Services Inc. since August 2006. Erica is licensed in both Illinois and Minnesota.
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
12/09/2013 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
MN
04/23/2001 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
BOTH
Issued 05/21/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/25/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2010
Series 3 - National Commodity Futures Examination
BC
Issued 04/20/2001
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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