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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karleen? Claim Your ProfileKarleen Madeleine Halliwell is a financial advisor with UBS Financial Services Inc., working in the industry since 1995. Karleen is registered with the following securities authorities: Florida, Rhode Island, and Texas. Karleen is also registered with the following SROs: FINRA. Karleen Halliwell has experience working with a wide range of clients including high-net-worth individuals, corporations and other businesses, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Karleen Halliwell has Series 7, Series 31, Series 63, and Series 65 licenses.
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
FL
05/20/2013 - Present
UBS Financial Services Inc. (Hallandale Beach FL)
FL
06/01/2009 - 03/11/2013
MORGAN STANLEY (AVENTURA FL)
FL
09/20/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (AVENTURA FL)
NY
05/30/1995 - 08/01/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/26/1995
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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