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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 Lee Puffenberger is a financial advisor with UBS Financial Services Inc. Erik has been in the financial services industry since December 1999 and has worked for several firms including National Planning Corporation, JPMorgan Distribution Services, Inc., One Group Services Company (The), and MPI Financial. Erik holds Series 3, 7, 9, 10, 63 and 66 licenses. Erik specializes in financial planning, portfolio management for businesses and individuals, and educational seminars. Erik is currently registered with UBS Financial Services Inc. in the state of Ohio.
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
OH
08/02/2007 - Present
UBS Financial Services Inc. (Columbus OH)
PA
05/23/2006 - 04/18/2007
NATIONAL PLANNING CORPORATION (MONROEVILLE PA)
CA
03/09/2001 - 01/03/2006
JPMORGAN DISTRIBUTION SERVICES, INC. (SAN FRANCISCO CA)
OH
02/13/2000 - 12/31/2000
ONE GROUP SERVICES COMPANY (THE) (BROOKLYN OH)
OH
02/11/1999 - 02/01/2000
MPI FINANCIAL (COLUMBUS OH)
BOTH
Issued 06/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2015
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/1999
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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