Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karin? Claim Your ProfileKarin R. Mikula is a financial advisor with UBS Financial Services Inc. Karin has been in the industry since 1987, and has held previous positions at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., ROBERT W. BAIRD & CO. INCORPORATED and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. Karin is registered with the state of Florida, New Jersey, and Texas. Karin holds the Series 6, 7, 63, and 66 licenses as well as the SIE. Karin has a strong background in financial planning, portfolio management for businesses and individuals, and pension consulting.
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
10/04/2012 - Present
UBS Financial Services Inc. (RED BANK NJ)
NJ
06/07/2004 - 10/01/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MANASQUAN NJ)
NY
08/31/1998 - 06/18/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
WI
01/04/1991 - 09/01/1998
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
04/01/1987 - 09/01/1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BOTH
Issued 04/01/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1998
Series 7 - General Securities Representative Examination
BC
Issued 03/31/1987
Series 6 - Investment Company Products/Variable Contracts 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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