Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Klotz is a financial advisor with UBS Financial Services Inc. He is a registered representative of the firm in Connecticut, Florida, New Jersey, New York, Texas and Wyoming. He is also a registered investment advisor in Connecticut, Florida, New Jersey, New York, Texas and Wyoming. Jeffrey has been a registered representative for over 40 years, and has worked with UBS Financial Services Inc. since December 2008. He previously worked with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Shearson Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, Prudential-Bache Securities Inc., Creative Securities Corp., Moseley, Hallgarten, Estabrook & Weeden, Inc. and Ross, Stebbins Inc. He is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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
02/06/2023 - Present
UBS Financial Services Inc. (New York NY)
NY
04/02/2007 - 12/22/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
02/07/2000 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
10/16/1993 - 02/11/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 10/29/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/25/1988 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
10/15/1984 - 12/09/1987
PRUDENTIAL-BACHE SECURITIES INC.
NA
03/19/1984 - 10/26/1984
CREATIVE SECURITIES CORP.
NA
06/16/1982 - 02/24/1984
MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.
NA
07/20/1981 - 05/10/1982
ROSS, STEBBINS INC.
BOTH
Issued 11/30/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/20/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/05/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/18/1981
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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