Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laurie? Claim Your ProfileLaurie Perry has been in the financial services industry since 1998. Laurie is a registered representative and investment advisor representative with UBS Financial Services Inc. in Westport, Connecticut. Laurie previously worked with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Salomon Smith Barney Inc. Laurie's specializations include Retirement Plans & IRAs, Mutual Funds, College Savings Plans, Annuities, Long-Term Care, Insurance, and Estate Planning.
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
12/09/2010 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
04/02/2007 - 12/03/2008
MORGAN STANLEY & CO. INCORPORATED (WILTON CT)
CT
03/13/2007 - 04/02/2007
MORGAN STANLEY DW INC. (WESTPORT CT)
NY
10/27/2000 - 07/08/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/18/1997 - 10/17/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
FL
04/10/1996 - 08/27/1997
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
BOTH
Issued 12/08/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/1996
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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