Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Nugent is a financial advisor with UBS Financial Services Inc. in SAN FRANCISCO, CA. Kenneth has been in the financial industry since 1979 and has held previous positions with Morgan Stanley DW INC., PaineWebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Paine, Webber, Jackson & Curtis Incorporated. Kenneth is a Certified Financial Planner and holds the Series 7, 9, 10, 15, 63, and SIE licenses. Kenneth is registered with FINRA and the state of California.
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
08/14/2007 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
NY
06/07/1993 - 11/26/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
04/30/1982 - 03/22/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/14/1979 - 05/13/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
02/01/1979 - 05/02/1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BC
Issued 10/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/15/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/20/1979
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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