Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Renee Mardis is a financial advisor with UBS Financial Services Inc. Heather has been in the financial services industry since January 29, 2002. Heather is registered with the state of Ohio. Her previous employers include MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., and SALOMON SMITH BARNEY INC.. Heather holds the Series 63, Series 66, Series 7 and SIE licenses. Heather's areas of expertise include retirement planning, college savings, and estate planning.
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
OH
06/18/2008 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
06/04/2004 - 05/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CINCINNATI OH)
NY
06/27/2002 - 04/08/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/01/2001 - 06/20/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 12/22/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2001
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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