Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jacqueline? Claim Your ProfileJacqueline Spiro is a financial advisor who has been in the industry since 1999. Currently, Jacqueline is registered with UBS Financial Services Inc. in WEST PALM BEACH, FL. Jacqueline has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Raymond James & Associates, Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Schonfeld Securities, LLC, CIBC World Markets Corp., Dean Witter Reynolds Inc., PaineWebber Incorporated, and Lehman Brothers Inc.. Jacqueline has passed several industry exams including Series 66, Series 63, Series 10, Series 9, SIE, Series 3, Series 31, Series 55, and Series 7. Jacqueline's current registrations include Florida as a Registered Representative (RA) and Investment Advisor Representative (IAR). Jacqueline is also a Registered Representative in Arkansas, Florida, Massachusetts, New Mexico, and Utah.
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
FL
09/13/2019 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
FL
01/14/2015 - 09/11/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
FL
03/08/2012 - 12/31/2014
RAYMOND JAMES & ASSOCIATES, INC. (BOCA RATON FL)
FL
06/01/2009 - 02/13/2012
MORGAN STANLEY SMITH BARNEY (W. PALM BEACH FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOCA RATON FL)
FL
01/03/2007 - 04/02/2007
MORGAN STANLEY DW INC. (BOCA RATON FL)
NY
04/03/2001 - 05/30/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
11/03/2000 - 03/29/2001
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
06/29/1998 - 02/26/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
11/17/1995 - 05/22/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
01/26/1993 - 10/25/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/21/1992 - 01/15/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 02/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2009
Series 3 - National Commodity Futures Examination
BC
Issued 04/06/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/17/1992
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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