Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Patricia Chavira is a financial advisor registered with UBS Financial Services Inc. Kelly has been in the industry since 1993 and has held previous positions with Lehman Brothers Inc., Donaldson, Lufkin & Jenrette Securities Corporation, Paine Webber Incorporated and Kidder, Peabody & Co. Incorporated. Kelly is registered in 22 states and has the Series 3, 7, 10, 9 and 66 licenses. Kelly offers a range of services, including financial planning, portfolio management, selection of other advisors, and educational seminars.
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
09/21/2009 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
11/16/1999 - 09/22/2008
LEHMAN BROTHERS INC. (LOS ANGELES CA)
NJ
12/05/1995 - 11/30/1999
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
01/28/1995 - 11/30/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/28/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 09/19/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/27/1993
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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