Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lauren? Claim Your ProfileLauren Mirman is a financial advisor with UBS Financial Services Inc. Lauren has been working in the financial industry since 2003, and has a wide range of experience in both the brokerage and investment advisory fields. Lauren holds the Series 3, 7, 9, 10, 63 and 66 licenses. Lauren provides a wide range of financial services, including portfolio management, financial planning, and educational seminars. Lauren is dedicated to helping clients 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
FL
03/07/2022 - Present
UBS Financial Services Inc. (NAPLES FL)
NY
11/05/2003 - 02/04/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
07/01/2003 - 10/08/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/10/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 11/04/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/07/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2008
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/2003
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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