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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Fred? Claim Your ProfileFred Carrolli is an investment advisor representative at UBS Financial Services Inc.. Fred has been in the industry since December 17, 2008 and has experience in a variety of financial services, including portfolio management for individuals and businesses, financial planning, and pension consulting. Fred is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 3, 7, 63 and SIE licenses. Fred is also registered as an Investment Advisor Representative in 17 states, including Florida, New York, Ohio and Pennsylvania.
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
06/20/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/26/2008 - 10/28/2019
UBS SECURITIES LLC (NEW YORK NY)
IA
Issued 06/20/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/24/2008
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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