Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Rote is a financial advisor with UBS Financial Services Inc., working in the Los Angeles, California area. Kelly has been in the financial services industry since August 2010 and is registered with the state of California, as well as 13 other states. Kelly has Series 3, 7, and 63 licenses and the SIE and Series 66 exams. Before joining UBS Financial Services Inc., Kelly worked for UBS Securities LLC, State Street Global Markets, LLC, Barclays Capital Inc., and MF Global Inc. Kelly's specialties include portfolio management for businesses and individuals, financial planning, 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
CA
08/10/2021 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
NY
08/10/2016 - 02/04/2021
UBS SECURITIES LLC (NEW YORK NY)
NY
04/01/2014 - 07/01/2016
STATE STREET GLOBAL MARKETS, LLC (NEW YORK NY)
NY
09/13/2013 - 03/31/2014
STATE STREET GLOBAL MARKETS, LLC (NEW YORK NY)
NY
12/19/2011 - 08/28/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
CA
06/11/2010 - 12/12/2011
MF GLOBAL INC. (MANHATTAN BEACH CA)
BOTH
Issued 02/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/22/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2010
Series 3 - National Commodity Futures Examination
BC
Issued 06/10/2010
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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