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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Cole is a financial advisor at UBS Financial Services Inc. Howard Cole has over 50 years of experience in the financial industry. Howard Cole has also worked for MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC. Howard Cole is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed in 24 states. Howard Cole's areas of specialization include financial planning, portfolio management for individuals and businesses, and pension consulting.
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
03/06/2009 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/02/2007 - 02/06/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
12/01/1967 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NA
06/25/1973 - 02/24/1978
REYNOLDS SECURITIES, INC.
BC
Issued 12/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/21/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/12/1980
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1967
Series 000 - General Securities Principal Examination
BC
Issued 12/01/1967
Series 1 - Registered 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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