Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristie jo? Claim Your ProfileKristie Jo Monaco Peppy is a financial advisor with over 20 years of experience in the financial services industry. Kristie Jo Monaco Peppy is currently registered with UBS Financial Services Inc. and has previously worked with PARK AVENUE SECURITIES LLC, SECURITIES AMERICA, INC., NEW ENGLAND SECURITIES, UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Kristie Jo Monaco Peppy holds licenses for Series 7, Series 63, Series 65, and Series 66. Kristie Jo Monaco Peppy has a broad range of experience in providing financial advice and services to individuals, businesses, and institutions.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (JAMESTOWN NY)
NY
07/08/2019 - 02/05/2020
PARK AVENUE SECURITIES LLC (JAMESTOWN NY)
NY
07/29/2008 - 09/30/2009
SECURITIES AMERICA, INC. (JAMESTOWN NY)
NY
11/11/2004 - 08/13/2007
NEW ENGLAND SECURITIES (JAMESTOWN NY)
AZ
08/09/2000 - 12/31/2002
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)
NY
03/11/1998 - 03/16/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/04/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/04/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/26/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1998
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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