Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristin? Claim Your ProfileKristin Landis is a registered representative with UBS Financial Services Inc. Kristin has been in the industry since January 29, 2007. Kristin has a Series 7, Series 31, and Series 66 license and holds registrations in 48 states. Kristin previously worked at Morgan Stanley, from June 1, 2009, to December 15, 2023, and at Citigroup Global Markets Inc. from January 30, 2007, to June 1, 2009.
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
CA
11/29/2023 - Present
UBS Financial Services Inc. (IRVINE CA)
CA
06/01/2009 - 12/15/2023
MORGAN STANLEY (Irvine CA)
CA
01/30/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)
BOTH
Issued 06/11/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/29/2007
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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