Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Mello is a financial advisor registered with UBS Financial Services Inc. Kimberly has been working in the financial industry since 2004. Kimberly is licensed in various states and holds several licenses and certifications, including Series 6, 7, 24, 63, and 65. Kimberly is also a Registered Representative of FINRA. Kimberly has a wide range of experience providing financial advice to individuals, businesses, and institutions. Her previous employers include MMC Securities Corp., Chase Investment Services Corp., Putnam Retail Management Limited Partnership, and Signator Investors, Inc. Kimberly currently works out of the Rockland, MA branch office of UBS Financial Services 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
02/08/2024 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
06/14/2005 - 03/15/2012
MMC SECURITIES CORP. (NORWOOD MA)
IL
12/03/2002 - 11/19/2003
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
MA
12/07/2000 - 12/17/2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
MA
03/31/2000 - 08/11/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
BC
Issued 01/05/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/03/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/2009
Series 24 - General Securities Principal Examination
BC
Issued 06/21/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/03/2019
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/30/2000
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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