Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Helen? Claim Your ProfileHelen Suzanne Hoffman is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the financial industry. Helen is registered with the state securities regulators of Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia and Washington. Helen's current registrations include: Series 7, Series 10, Series 24, Series 3, Series 63, Series 65, and Series 9. Helen has a strong background in financial planning, portfolio management for individuals and businesses, and pension consulting. Helen is also experienced in providing educational seminars and the selection of other advisors.
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
10/26/2012 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
11/04/1998 - 10/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (POUGHKEEPSIE NY)
NY
12/22/1995 - 12/15/1998
ADOLPH KOMORSKY HOFFMAN & ASSOCIATES LTD (TARRYTOWN NY)
NY
06/17/1994 - 12/05/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
05/22/1992 - 06/15/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
10/16/1990 - 05/26/1992
DOLLAR DRY DOCK INVESTMENT SERVICES, INC.
CA
04/01/1987 - 10/24/1990
MURPHEY FAVRE, INC. (IRVINE CA)
NA
04/22/1982 - 03/05/1987
E. F. HUTTON & COMPANY INC
IA
Issued 12/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/20/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/1996
Series 3 - National Commodity Futures Examination
BC
Issued 04/17/1982
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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