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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernie? Claim Your ProfileErnie Walter Kloock is a financial advisor currently registered with UBS Financial Services Inc. Ernie Walter Kloock has been in the industry since 1998. Ernie Walter Kloock has been registered with UBS Financial Services Inc. since September 2014. Ernie Walter Kloock is also registered with FINRA and several states. Ernie Walter Kloock has experience in various investment areas including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Ernie Walter Kloock has worked for several firms in the past, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., Quick & Reilly, Inc., and Morgan Stanley DW 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
07/17/2018 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NJ
10/23/2009 - 09/30/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAYNE NJ)
NJ
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GLEN ROCK NJ)
NY
02/11/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
10/15/1998 - 02/05/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 11/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1998
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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