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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Margaret Geary is a financial advisor with UBS Financial Services Inc., registered in the state of Ohio since 2022. Kristen has been working in the industry since 2007. Kristen has held past registrations with UBS Financial Services Inc. and Independent Brokers LLC. Kristen has experience providing financial planning services, portfolio management for businesses and individuals, pension consulting and selection of other advisors. Kristen is licensed with Series 7, 9, 10, 24, 63, 66, 99TO, and SIE.
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
05/03/2024 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
OH
09/10/2018 - 06/14/2021
UBS FINANCIAL SERVICES INC. (CLEVELAND OH)
NY
06/26/2006 - 01/11/2018
INDEPENDENT BROKERS LLC (NEW YORK NY)
BOTH
Issued 05/02/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/20/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/21/2010
Series 24 - General Securities Principal Examination
BC
Issued 07/21/2009
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2006
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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