Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karina? Claim Your ProfileKarina Mattis is a financial advisor currently registered with UBS Financial Services Inc.. Karina has been in the financial industry since 1999. Karina is also registered with the following states: New Jersey, New York. Previously Karina was employed by Credit Suisse Securities (USA) LLC and Morgan Stanley & Co., 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
NJ
10/20/2017 - Present
UBS Financial Services Inc. (Weehawken NJ)
NY
08/27/2007 - 02/16/2017
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
05/12/2005 - 08/23/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
03/15/1999 - 05/03/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 10/13/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2017
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2006
Series 3 - National Commodity Futures Examination
BC
Issued 03/12/1999
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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