Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lindsay? Claim Your ProfileLindsay Mais is a registered representative and investment advisor representative with UBS Financial Services Inc. Lindsay has been in the securities industry since 2009. Lindsay works in the SEAL BEACH, CA branch office. Lindsay has passed the Series 66, Series 7, and SIE exams. Lindsay is registered in 31 states for securities, and 2 states for investment advisory services. Lindsay is also registered with FINRA. Lindsay is a member of the MemorialCare Community Hospital Long Beach Advisory Board, Long Beach Cal Alumni Group, Leadership Long Beach, Friends of Pathways - Steering Committee, and St. Mary Medical Center Foundation Board of Trustees and Investment Committee.
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
CA
05/18/2015 - Present
UBS Financial Services Inc. (SEAL BEACH CA)
CA
05/20/2009 - 07/22/2010
WOODBURY FINANCIAL SERVICES, INC. (SEAL BEACH CA)
BOTH
Issued 06/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2009
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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