Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Lynn Brown is an investment advisor representative at UBS Financial Services Inc. in Dallas, TX. Heather has been in the industry since 1998 and is registered with the state of Texas to provide investment advisory services. Previously, Heather was an investment advisor representative with Credit Suisse Securities (USA) LLC, Lehman Brothers Inc., and Morgan Stanley DW Inc. Heather has also worked with Credit Suisse Lending LLC.
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
TX
11/13/2015 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
04/18/2012 - 12/08/2015
CREDIT SUISSE SECURITIES (USA) LLC (DALLAS TX)
TX
08/05/2005 - 08/13/2008
LEHMAN BROTHERS INC. (DALLAS TX)
NY
09/13/1996 - 08/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 05/25/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 09/12/1996
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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