Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Liam? Claim Your ProfileLiam Fanola is a financial advisor with UBS Financial Services Inc. Liam has been in the financial services industry since 2005. Liam is registered with the state of Minnesota. Liam has a Series 6, Series 7, Series 63, and Series 66 licenses. Liam is associated with the Wayzata, MN office of UBS Financial Services Inc.
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
MN
11/02/2021 - Present
UBS Financial Services Inc. (WAYZATA MN)
VA
06/07/2006 - 10/26/2006
PNC INVESTMENTS (OAKTON VA)
NY
02/18/2005 - 04/19/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 11/02/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/09/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/28/2021
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2005
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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