Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keira? Claim Your ProfileKeira Marie Rawlings is a financial advisor with UBS Financial Services Inc. Keira has been working in the financial services industry since 2001. Keira specializes in providing financial planning and portfolio management services for individuals and businesses. Keira has a diverse background in the financial industry, having worked with firms such as Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Raymond James & Associates, Inc. Keira has a wide range of experience in the industry, including experience with various products and services. Keira is registered with the Securities and Exchange Commission and is a member of FINRA.
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
NE
04/14/2017 - Present
UBS Financial Services Inc. (Lincoln NE)
CO
06/01/2009 - 03/31/2010
MORGAN STANLEY SMITH BARNEY (ENGLEWOOD CO)
CO
12/11/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ENGLEWOOD CO)
CO
12/13/2006 - 03/12/2007
RAYMOND JAMES & ASSOCIATES, INC. (ENGLEWOOD CO)
CO
08/13/2003 - 12/31/2004
CASCADE FINANCIAL MANAGEMENT, INC. (DENVER CO)
CO
07/10/2000 - 08/16/2001
CASCADE INVESTMENT GROUP, INC. (COLORADO SPRINGS CO)
CO
12/05/1997 - 07/22/1998
WALL STREET DISCOVERIES, LLC (DENVER CO)
CO
03/24/1994 - 10/25/1996
BJR & ASSOCIATES, INC (COLORADO SPRINGS CO)
NA
08/19/1992 - 01/19/1994
DAIN BOSWORTH INCORPORATED
MO
09/04/1990 - 10/11/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
07/17/1989 - 09/04/1990
BOETTCHER & COMPANY, INC.
NY
11/21/1984 - 07/19/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 04/14/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/10/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/01/1994
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 02/03/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2017
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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