Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Janice? Claim Your ProfileJanice Elaine Wolter is a Registered Representative and Investment Adviser Representative associated with UBS Financial Services Inc. with over 40 years of experience in the financial services industry. Janice has worked with UBS since 1996 after previous roles with GECC Capital Markets Group, Inc. and Kidder, Peabody & Co. Incorporated. Janice has a wide range of experience across the industry, holding licenses including Series 3, 4, 5, 7, 8, 9, 10, 63, and 66. Janice is registered to provide investment advisory services in Ohio, Arizona, Florida, Indiana, and Kentucky.
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
IN
08/16/1999 - Present
UBS Financial Services Inc. (INDIANAPOLIS IN)
CT
05/03/1996 - 10/01/1996
GECC CAPITAL MARKETS GROUP, INC. (NORWALK CT)
NY
06/06/1979 - 05/09/1996
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 05/12/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/21/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 04/16/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/23/2024
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/30/1974
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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