Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Powers is an Investment Advisor Representative at UBS Financial Services Inc. Frank has been in the securities industry since April 15, 1995. Frank has a Series 7, Series 63, and SIE license and is registered in 8 states, including California, Connecticut, Florida, Massachusetts, New Jersey, and New York. Frank's prior experience includes roles at Citigroup Global Markets Inc., Prudential Securities Incorporated, SG Cowen Securities Corporation, Cowen & Co., Wit Capital Corporation, Prime Charter Ltd., Smith Barney Inc., CS First Boston Corporation, and PaineWebber Incorporated.
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
04/08/2024 - Present
UBS Financial Services Inc. (GREENWICH CT)
NY
11/21/2003 - 07/08/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/22/2000 - 03/15/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/01/1998 - 09/06/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
03/04/1998 - 07/01/1998
COWEN & CO. (NEW YORK NY)
CT
01/09/1998 - 03/11/1998
WIT CAPITAL CORPORATION (OLD GREENWICH CT)
NY
08/30/1996 - 05/22/1997
PRIME CHARTER LTD. (NEW YORK NY)
NY
11/15/1995 - 04/22/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
05/16/1991 - 05/02/1994
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
07/31/1990 - 12/13/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 09/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1990
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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