Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Alan Simon is a financial advisor with UBS Financial Services Inc. in New York, NY, and has been in the financial services industry since November 7, 1978. Gregory holds Series 3, 7, 31, 63, and 65 licenses and has experience in various areas including securities, futures, and investment advisory. Simon has also held positions with firms like Smith Barney, Harris Upham & Co., Incorporated, Drexel Burnham Lambert Incorporated, and Jefferies & Company, Inc.
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
09/19/2005 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/22/1989 - 01/28/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
10/16/1986 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
10/18/1984 - 10/23/1986
JEFFERIES & COMPANY, INC.
NA
06/01/1984 - 10/29/1984
BECKER PARIBAS INCORPORATED
NA
08/11/1980 - 06/05/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
01/15/1979 - 09/01/1980
DEAN WITTER REYNOLDS INC.
NA
11/01/1978 - 01/07/1979
SALOMON BROTHERS
IA
Issued 06/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/08/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/21/1978
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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