Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Roberts is a financial advisor with UBS Financial Services Inc. Kimberly has been in the financial industry since 1997. Kimberly is licensed to sell securities in Tennessee and has passed the Series 63, Series 66, Series 7, Series 9, Series 10, and SIE exams. Kimberly has previously worked at CITIGROUP GLOBAL MARKETS INC., LEGG MASON WOOD WALKER, INCORPORATED, FIRST UNION SECURITIES, INC., and FIRST UNION CAPITAL MARKETS CORP. Kimberly holds the following specializations: Investment Advisory Services; Broker-Dealer Trading; Broker-Dealer Private Client Management; Investment Adviser Representative; Broker-Dealer Private Client Management; Securities Representative; Financial Planning.
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
TN
01/30/2009 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
02/21/2006 - 01/29/2009
CITIGROUP GLOBAL MARKETS INC. (KNOXVILLE TN)
MD
01/01/2002 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
10/01/1999 - 05/08/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/09/1996 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 01/22/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2001
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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