Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeremy? Claim Your ProfileJeremy Klein is a financial advisor at UBS Financial Services Inc., where he has been working since November 2018. Jeremy has over 16 years of experience in the financial industry, previously working for FBN Securities, Inc. and RBC Capital Markets Corporation. Jeremy is registered to provide investment advice in both the United States and Canada.
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
NJ
01/17/2024 - Present
UBS Financial Services Inc. (Weehawken NJ)
NY
12/22/2011 - 11/08/2018
FBN SECURITIES, INC. (NY NY)
NY
02/29/2008 - 04/22/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
04/17/2006 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
10/16/2001 - 11/09/2004
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 12/07/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/28/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/30/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/21/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/23/2006
Series 3 - National Commodity Futures 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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