Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth James Fitzsimons is a financial advisor with UBS Financial Services Inc. Kenneth has over 20 years of experience in the financial services industry. Kenneth's previous roles include positions at Morgan Stanley, Morgan Stanley & Co. Incorporated, Lightstone Securities, LLC, John Hancock Distributors LLC, and Manulife Wood Logan, Inc.. Kenneth is a registered representative with the Financial Industry Regulatory Authority (FINRA) and holds Series 6, 7, 24, 63, 79TO, and SIE licenses. Kenneth is also registered as an investment advisor representative in New Jersey and New York.
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
11/08/2013 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
06/01/2009 - 10/23/2013
MORGAN STANLEY (PURCHASE NY)
NY
04/20/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
06/26/2006 - 03/01/2007
LIGHTSTONE SECURITIES, LLC (NEW YORK NY)
MA
01/01/2002 - 07/07/2005
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
CT
08/15/2000 - 01/01/2002
MANULIFE WOOD LOGAN, INC. (STAMFORD CT)
BC
Issued 05/30/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2017
Series 24 - General Securities 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 06/23/2006
Series 7 - General Securities Representative Examination
BC
Issued 05/22/2000
Series 6 - Investment Company Products/Variable Contracts 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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