Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lindsey? Claim Your ProfileLindsey Norris Polhemus, Jr. is a financial advisor with UBS Financial Services Inc. Lindsey has been a registered representative since April 1988 and has worked in the financial services industry for over 30 years. Lindsey has experience working with individuals, families, businesses, and institutions. Lindsey holds Series 7, 63, and 65 licenses and is registered in multiple states. Lindsey specializes in various areas of financial planning, including retirement planning, investment management, and estate planning. Lindsey also works with clients to develop personalized financial plans that meet their unique needs and goals. Prior to joining UBS Financial Services Inc., Lindsey held positions at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, Smith Barney Shearson Inc., Lehman Brothers Inc., Corporate Securities Group, Inc., Dean Witter Reynolds Inc., J. T. Moran & Co., Inc., and Sherwood Capital, 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
NH
01/25/2012 - Present
UBS Financial Services Inc. (PORTSMOUTH NH)
NY
06/01/2009 - 02/21/2012
MORGAN STANLEY SMITH BARNEY (RIVERHEAD NY)
NY
09/05/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (RIVERHEAD NY)
NY
10/11/1996 - 09/15/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/13/1993 - 10/16/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 08/31/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
05/22/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
10/05/1989 - 05/23/1990
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
NY
12/15/1988 - 10/13/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
05/20/1988 - 12/21/1988
J. T. MORAN & CO., INC.
NA
04/19/1988 - 05/20/1988
SHERWOOD CAPITAL, INC.
IA
Issued 11/02/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1988
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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