Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Bertoncin is a financial advisor registered with UBS Financial Services Inc. Kevin has been in the financial industry since 2010. Kevin holds FINRA Series 66, 7, and SIE licenses. Kevin is registered with the states of Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia and Wyoming. Kevin is also registered with UBS Financial Services Inc. and Fidelity Brokerage Services LLC. Kevin has previously worked with TD Ameritrade, Inc., Morgan Stanley Smith Barney, and Personal Capital Advisors Corporation.
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
NY
04/02/2020 - Present
UBS Financial Services Inc. (Purchase NY)
CT
12/07/2018 - 04/06/2020
FIDELITY BROKERAGE SERVICES LLC (GREENWICH CT)
PA
07/21/2017 - 12/06/2018
TD AMERITRADE, INC. (PHILADELPHIA PA)
NY
11/12/2010 - 01/13/2017
UBS FINANCIAL SERVICES INC. (WHITE PLAINS NY)
NJ
08/09/2010 - 11/29/2010
MORGAN STANLEY SMITH BARNEY (SHREWSBURY NJ)
BOTH
Issued 08/24/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2010
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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