Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristie? Claim Your ProfileKristie Waldorf is a financial advisor with UBS Financial Services Inc. She is a registered representative with both the state of Michigan and FINRA, and holds the Series 66, 31 and 7 licenses. Kristie has worked in the financial industry since 2006 and has experience with Morgan Stanley and Chase Investment Services Corp. Kristie has a proven track record of providing exceptional service to her clients and is dedicated to helping them achieve their financial goals.
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
MI
03/12/2018 - Present
UBS Financial Services Inc. (TROY MI)
MI
10/11/2011 - 03/05/2018
MORGAN STANLEY (TROY MI)
MI
04/29/2010 - 08/22/2011
CHASE INVESTMENT SERVICES CORP. (WATERFORD MI)
MI
06/01/2009 - 04/12/2010
MORGAN STANLEY SMITH BARNEY (BIRMINGHAM MI)
MI
06/17/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BIRMINGHAM MI)
MI
12/16/2006 - 06/23/2008
CITIGROUP GLOBAL MARKETS INC. (TROY MI)
MI
07/19/2006 - 12/08/2006
LINSCO/PRIVATE LEDGER CORP. (BINGHAM FARMS MI)
MI
03/10/2006 - 04/20/2006
MCDONALD INVESTMENTS INC. (BIRMINGHAM MI)
BOTH
Issued 07/08/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/2006
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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