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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Fann is a financial advisor at UBS Financial Services Inc. with over 26 years of experience in the industry. Lawrence has a strong background in providing financial guidance to individuals, businesses, and families. Lawrence's expertise includes financial planning, portfolio management, and investment services. Lawrence holds the Series 3, 7, 31, 63, and 65 licenses, and is registered to offer securities and investment advisory services in several states, including Arizona, California, Texas and more. Lawrence is committed to providing clients with personalized service and helping them 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
AZ
09/08/2016 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
07/10/1999 - 09/13/2016
RBC CAPITAL MARKETS, LLC (PHOENIX AZ)
MN
12/13/1994 - 07/06/1999
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
01/21/1992 - 12/21/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 01/10/1992
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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