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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Casper Sermarini is a financial advisor with over 26 years of experience in the industry. Erik is currently registered with UBS Financial Services Inc. in New Jersey, Pennsylvania and Texas. Erik has been a registered representative with UBS since May 2016. Prior to that, Erik worked as a financial advisor with Stifel, Nicolaus & Company, Incorporated from February 2011 to June 2016. Erik has also held previous positions with Charles Schwab & Co., Inc. and Smith Barney 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
NJ
03/20/2018 - Present
UBS Financial Services Inc. (PRINCETON NJ)
NJ
02/07/2011 - 06/06/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (PRINCETON NJ)
NJ
01/17/1997 - 02/10/2011
CHARLES SCHWAB & CO., INC. (PRINCETON NJ)
NY
05/16/1995 - 05/06/1996
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 07/02/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/1995
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 01/18/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1995
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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