Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Jason Holton is a financial advisor currently working at UBS Financial Services Inc. Erik has been working in the financial industry since May 1996 and has been registered with the state of Connecticut since September 2014. Previously, Erik worked for Morgan Stanley DW INC. and Tucker Anthony Incorporated. Erik Holton is registered to provide financial advice to individuals, businesses, high-net-worth clients, charitable organizations, and pension and profit-sharing plans. Erik Holton offers a variety of financial services, including portfolio management, financial planning, educational seminars, and publication of periodicals.
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
CT
03/02/2005 - Present
UBS Financial Services Inc. (NEW HAVEN CT)
NY
06/20/2001 - 02/14/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
MA
05/22/1996 - 07/10/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
IA
Issued 09/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1996
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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