Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Degroot is a financial advisor with over 20 years of experience in the industry. Erik is currently registered with UBS Financial Services Inc. as a registered representative. Previously, Erik was registered with RBC Capital Markets Corporation, Tucker Anthony Incorporated, Harrison Securities, Inc., Whitehall Wellington Investments, Inc., and M.S. Farrell & Company, Inc. Erik holds Series 7, Series 63, and Series 65 licenses. Erik works in the Southampton, New York office of UBS Financial Services Inc.
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
02/06/2013 - Present
UBS Financial Services Inc. (SOUTHAMPTON NY)
NY
03/09/2002 - 05/23/2008
RBC CAPITAL MARKETS CORPORATION (SOUTHAMPTON NY)
MA
12/06/2001 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
01/02/2001 - 10/04/2001
HARRISON SECURITIES, INC. (PORT WASHINGTON NY)
NY
11/15/2000 - 12/31/2000
WHITEHALL WELLINGTON INVESTMENTS, INC. (PORT WASHINGTON NY)
NY
03/31/2000 - 11/22/2000
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
IA
Issued 05/10/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2000
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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