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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julie? Claim Your ProfileJulie Book is a financial advisor at UBS Financial Services Inc. Julie has been in the industry since 2018. Julie holds the Series 66, Series 7, Series 9, Series 10, and SIE licenses. Julie is registered to provide investment advice in 53 states and districts. Julie has experience working with clients in the following areas: individuals, high-net-worth individuals, corporations or other businesses, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Julie is affiliated with UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
NC
07/11/2023 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
04/22/2021 - 02/22/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
09/08/2017 - 04/19/2021
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
BOTH
Issued 10/16/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/23/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/01/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
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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