Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin T. Ducie is a financial advisor at UBS Financial Services Inc. Kevin has been in the industry for over 38 years and has a wide range of experience. Kevin holds a number of licenses and certifications, including the Series 7, Series 10, Series 63, and Series 65. Kevin is committed to providing personalized financial advice to help clients reach their financial goals. Prior to joining UBS Financial Services Inc., Kevin worked at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Kevin also has experience at Smith Barney Inc. and Lehman Brothers Inc.
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
MA
09/05/2008 - Present
UBS Financial Services Inc. (HYANNIS MA)
MA
04/02/2007 - 09/09/2008
MORGAN STANLEY & CO. INCORPORATED (HYANNIS MA)
MA
06/21/1994 - 04/02/2007
MORGAN STANLEY DW INC. (HYANNIS MA)
NY
07/31/1993 - 07/05/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/31/1986 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
01/16/1984 - 05/09/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/27/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/1994
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
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
Not sure Kevin Ducie is the right advisor for you? Invested Better is here to help.
