Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Janna? Claim Your ProfileJanna Cassidy has been in the securities industry since September 19, 1989. Janna is currently registered with UBS Financial Services Inc. in Washington. Previously, Janna was registered with PIPER JAFFRAY & CO. in Washington from September 20, 1989 to August 12, 2006. Janna has passed a total of eight securities exams including the Series 63, 66, 7, 8, 9, 10 and the SIE. Janna is a Registered Representative and Investment Advisor Representative. Janna is also a Secretary for Meadowdale Sports Booster Club. Janna works at the UBS Financial Services Inc. branch office located in Seattle, Washington.
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
WA
08/12/2006 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
09/20/1989 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
BOTH
Issued 12/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/1989
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 04/28/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
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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