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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Baldwin is a financial advisor at UBS Financial Services Inc. Frank has over 35 years of experience in the financial services industry and specializes in providing financial advice to individuals, families, and businesses. Frank has a strong background in investment management and financial planning. Frank is committed to providing clients with personalized financial advice and strategies that are tailored to their unique needs and goals. Frank holds multiple licenses and certifications, including Series 3, 7, 9, 10, 22, 39, 63, and SIE.
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
CA
03/20/2008 - Present
UBS Financial Services Inc. (LA JOLLA CA)
CA
04/02/2007 - 03/27/2008
MORGAN STANLEY & CO., INCORPORATED (SAN DIEGO CA)
CA
01/18/2000 - 04/02/2007
MORGAN STANLEY DW INC. (SAN DIEGO CA)
NY
08/16/1993 - 01/19/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/14/1989 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
11/21/1986 - 05/02/1989
SHEARSON LEHMAN HUTTON INC.
NA
04/03/1986 - 11/18/1986
DESIGN CAPITAL SECURITIES CORP.
NA
11/01/1985 - 04/01/1986
SENTRA SECURITIES CORPORATION
BC
Issued 06/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/12/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/03/1985
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1986
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1985
Series 22 - Direct Participation Programs 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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