Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Winslow is a financial advisor with UBS Financial Services Inc., Heather has over 20 years of experience in the financial services industry. Heather has a wide range of experience in financial planning, investment management, and retirement planning. Heather is committed to providing her clients with personalized financial advice to help them achieve their financial goals. Heather is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 63, 66, 7, 9, 10, 99TO, and SIE licenses. Prior to joining UBS Financial Services Inc., Heather worked at Morgan Stanley, Wells Fargo Clearing Services, LLC, and Dain Rauscher 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
OK
05/05/2022 - Present
UBS Financial Services Inc. (OKLAHOMA CITY OK)
OK
10/20/2020 - 05/02/2022
MORGAN STANLEY (Oklahoma City OK)
OK
04/19/2007 - 01/23/2020
WELLS FARGO CLEARING SERVICES, LLC (OKLAHOMA CITY OK)
OK
12/04/2000 - 05/03/2007
UBS FINANCIAL SERVICES INC. (EDMOND OK)
NY
01/12/2000 - 11/28/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
BOTH
Issued 08/24/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2000
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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