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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laurie? Claim Your ProfileLaurie Ann Pallas is a financial advisor with UBS Financial Services Inc. Laurie Ann Pallas has been in the industry since 1998. Laurie Ann Pallas has a Series 6, 7, 9, 10, 63, 66 and SIE licenses and is registered in Connecticut, Florida, Massachusetts, New York, and Washington. Laurie Ann Pallas is affiliated with UBS Financial Services Inc. UBS Financial Services Inc. has been in business since 1987 and has over 11070 registered representatives. The firm manages over $702 billion in assets.
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
CT
01/15/2013 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
03/22/2012 - 08/31/2012
VISION FINANCIAL MARKETS LLC (STAMFORD CT)
CT
01/13/2004 - 03/21/2012
CREDIT SUISSE SECURITIES (USA) LLC (GREENWICH CT)
NY
04/06/1998 - 11/20/2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES, INC. (NEW YORK NY)
TN
03/04/1996 - 01/26/1998
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
BOTH
Issued 01/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/14/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2004
Series 7 - General Securities Representative Examination
BC
Issued 03/01/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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