Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henry? Claim Your ProfileHenry Wagner iii is a financial advisor with UBS Financial Services Inc. in San Francisco, CA. Henry Wagner iii has over 40 years of experience in the financial services industry. Henry Wagner iii holds Series 3, 5, 7, 8, 63 and 65 licenses and has been registered with the Securities and Exchange Commission (SEC) since 1979. Henry Wagner iii provides financial planning, portfolio management and other services to individuals, businesses, charitable organizations, and pension and profit-sharing plans.
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
CA
11/14/2011 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/11/2011 - 05/02/2011
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
11/07/2005 - 02/14/2011
NOLLENBERGER CAPITAL PARTNERS INC. (SAN FRANCISCO CA)
NY
12/21/1979 - 11/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 02/04/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 12/15/1979
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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