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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Ray Sheets is a financial advisor with UBS Financial Services Inc. Kim has been in the financial industry for over 39 years. Kim is registered with FINRA and the state of Texas. Kim is also a registered Investment Advisor. Kim holds several securities licenses including Series 3, 7, 8, 9, 10, 63, and 65. Kim has experience in providing financial advice to individuals, businesses, and institutions. Kim is committed to providing her clients with personalized financial advice and helping them reach their financial goals.
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
TX
05/18/1992 - Present
UBS Financial Services Inc. (CORPUS CHRISTI TX)
NY
04/17/1989 - 05/27/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/04/1984 - 05/06/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 06/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/29/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/05/1984
Series 3 - National Commodity Futures 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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