Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jay? Claim Your ProfileJay Dohrn Baumgardner is a financial advisor at UBS Financial Services Inc. in Newport Beach, California. Jay has been in the financial industry since 1994. Jay holds Series 7, Series 63, and Series 65 licenses. Jay has previously worked at J.P. Morgan Securities LLC, Wachovia Securities, LLC, Wells Fargo Investments, LLC, UST Securities Corp., UST Financial Services Corp., Invest Financial Corporation, Ameristar Capital Markets, Inc., Smith Barney Inc., and Lehman Brothers Inc. Jay offers financial planning, portfolio management, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals.
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
09/22/2016 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
01/12/2009 - 09/30/2016
J.P. MORGAN SECURITIES LLC (NEWPORT BEACH CA)
CA
04/11/2008 - 01/14/2009
WACHOVIA SECURITIES, LLC (NEWPORT BEACH CA)
CA
10/07/2004 - 05/18/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CT
09/11/2003 - 06/29/2004
UST SECURITIES CORP. (STAMFORD CT)
NY
05/19/1999 - 08/31/2001
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
WI
02/01/1997 - 02/17/1999
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
05/19/1995 - 02/01/1997
AMERISTAR CAPITAL MARKETS, INC.
NY
07/31/1993 - 05/04/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
11/13/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
09/20/1988 - 10/31/1991
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
BC
Issued 04/12/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1988
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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