Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kara? Claim Your ProfileKara Goetz is a financial advisor with UBS Financial Services Inc. Kara has been working in the financial industry since 1992. Kara is registered with the state of Minnesota and Florida as well as FINRA. Kara is also a licensed investment advisor representative with UBS Financial Services Inc. in Minneapolis. Kara's previous experience includes positions with Wells Fargo Clearing Services, LLC, Morgan Stanley and Dean Witter Reynolds Inc. Kara has a strong background in financial planning, portfolio management and investment advisory services. Kara is committed to providing her clients with personalized advice and guidance to help 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
MN
09/13/2022 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
MN
08/24/2015 - 09/15/2022
WELLS FARGO CLEARING SERVICES, LLC (MINNEAPOLIS MN)
MN
06/01/2009 - 08/27/2015
MORGAN STANLEY (BLOOMINGTON MN)
MN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BLOOMINGTON MN)
MN
07/13/2000 - 04/02/2007
MORGAN STANLEY DW INC. (BLOOMINGTON MN)
MN
02/16/2000 - 07/19/2000
ASCEND FINANCIAL SERVICES, INC. (ST. PAUL MN)
NY
12/06/1991 - 12/23/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 02/24/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/28/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1991
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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