Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Griffin is a financial advisor at UBS Financial Services Inc. Kristen has been working in the financial services industry since September 29, 2008. Kristen holds a Series 63, 66, 7 and 24 license and is registered to sell securities in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Kristen has experience working with a wide range of clients, including individuals, families, businesses, and institutions. Kristen's expertise includes financial planning, retirement planning, investment management, and insurance.
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
NJ
01/02/2013 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
07/10/1998 - 07/31/2000
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
06/18/1996 - 07/16/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 12/24/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2012
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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