Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erica? Claim Your ProfileErica Frantz is an investment advisor representative with UBS Financial Services Inc. in Minneapolis, MN. She has been in the industry since July 3, 2008. Erica previously worked at RBC CAPITAL MARKETS, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. She is registered with the state of Minnesota and Texas. She has passed the Series 66, Series 7 and SIE exams. Her firm, UBS Financial Services Inc., is a large firm with over $50 billion in assets under management. The firm provides a variety of financial services to individuals, businesses, and institutions.
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
MN
07/18/2017 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
MN
08/16/2013 - 08/01/2017
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
IL
08/08/2011 - 06/03/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NORTHBROOK IL)
DC
04/02/2008 - 07/18/2011
WELLS FARGO ADVISORS, LLC (WASHINGTON DC)
BOTH
Issued 06/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2008
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
Not sure Erica Frantz is the right advisor for you? Invested Better is here to help.
