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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Komalpreet? Claim Your ProfileKomalpreet Kaur is a financial advisor currently registered with UBS Financial Services Inc. Komalpreet Kaur has been in the industry since May 10, 2018. Komalpreet Kaur is licensed to provide advisory services in Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Louisiana, Massachusetts, Michigan, Minnesota, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington and Wisconsin. Previously, Komalpreet Kaur worked at Fidelity Brokerage Services LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
IL
10/29/2019 - Present
UBS Financial Services Inc. (OAKBROOK TERRACE IL)
IL
06/14/2018 - 09/16/2019
FIDELITY BROKERAGE SERVICES LLC (NAPERVILLE IL)
IL
09/21/2017 - 12/05/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROLLING MEADOWS IL)
BOTH
Issued 07/19/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2017
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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