Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francesca? Claim Your ProfileFrancesca Sharkey Moum is an investment professional with over 30 years of experience in the financial services industry. Francesca currently works for UBS Financial Services Inc., where she is registered as a broker-dealer. Previously, Francesca held positions at Pickwick Capital Partners, LLC, J.P. Morgan Securities LLC, Barclays Capital Inc., and Lehman Brothers Inc. Francesca is licensed to provide investment advice and securities products in the state of New Jersey.
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
01/17/2020 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
02/11/2019 - 11/18/2019
PICKWICK CAPITAL PARTNERS, LLC (WHITE PLAINS NY)
NY
07/12/2013 - 12/22/2016
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
09/22/2008 - 02/13/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/24/1989 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 04/15/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/05/2024
Series 99TO - Operations Professional Examination
BC
Issued 12/22/2016
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1989
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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