Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Walter is an active investment advisor representative with UBS Financial Services Inc. in NEW YORK, NY. Frank has been in the industry for over 10 years and has a Series 7, 63 and 65 licenses. Frank is registered with the following securities authorities: California, Florida, Nevada, New Jersey, New York, North Carolina, Texas, and Washington. Frank has been employed by UBS Financial Services Inc. since 2015. Prior to that, Frank worked at J.P. Morgan Securities LLC in NEW YORK, NY. Frank specializes in portfolio management for individuals, businesses, and investment companies. Frank also offers financial planning, pension consulting, educational seminars, and publication of periodicals. Frank is committed to providing clients with the highest level of service and expertise.
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
NY
09/19/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
08/12/2013 - 06/04/2015
J.P. MORGAN SECURITIES LLC (new york NY)
IA
Issued 06/23/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2013
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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