Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristin? Claim Your ProfileKristin Rowan has been in the financial services industry since May 2003 and currently works with UBS Financial Services Inc. Kristin has a background in both brokerage and investment advisory services. Kristin has earned the Series 7, Series 63, and Series 66 licenses, as well as the Securities Industry Essentials (SIE) exam. Kristin has several years of experience working with high-net-worth individuals and families.
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
KY
05/05/2009 - Present
UBS Financial Services Inc. (LOUISVILLE KY)
KY
04/30/2003 - 09/16/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
BOTH
Issued 05/04/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2003
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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