Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jess? Claim Your ProfileJess Wayne Hoeffner is a financial advisor with over 25 years of experience in the industry. Jess has worked with a number of firms including Credit Suisse Securities (USA) LLC, ABN AMRO Incorporated, Salomon Brothers Inc., Smith Barney Inc., UBS Financial Services Inc., and UBS Securities LLC. Jess is currently registered as a financial advisor with both UBS Securities LLC and UBS Financial Services Inc., and holds a wide range of licenses and certifications, including Series 7, 10, 16, 24, 52TO, 53, and 63.
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.
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.
1
2
NY
05/20/2024 - Present
UBS Securities LLC (NEW YORK NY)
NY
11/13/1998 - 05/22/2024
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
CT
01/28/1998 - 10/01/1998
ABN AMRO INCORPORATED (STAMFORD CT)
NY
08/30/1997 - 01/25/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
05/19/1997 - 08/22/1997
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 04/19/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/2010
Series 24 - General Securities Principal Examination
BC
Issued 08/01/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2000
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 05/06/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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