Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loretta? Claim Your ProfileLoretta Lang Finck is a financial advisor at UBS Financial Services Inc., where she has been working since September 2010. Loretta is a registered representative in Connecticut and Iowa, and she holds the Series 3, 4, 7, 24, 55, 63, 66, and SIE licenses. She has over 40 years of experience in the financial services industry, and her previous employers include Summit Securities Group LLC, GFI Securities LLC, National Securities Corporation, Wachovia Capital Markets, LLC, Burlington Capital Markets Inc., Tribeca Investments, L.L.C., Kellner, Dileo & Co., Muriel Siebert & Co., Inc., Kaufmann, Alsberg & Co., Inc., Walsh, Greenwood & Co., and Donaldson, Lufkin & Jenrette Securities Corporation. Loretta is a member of the Sherman Historical Society, Quaker Hill Country Club, and the River Oaks of Sherman Association, 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
CT
11/17/2021 - Present
UBS Financial Services Inc. (STAMFORD CT)
NY
11/02/2009 - 07/30/2010
SUMMIT SECURITIES GROUP LLC (NEW YORK NY)
NY
02/26/2008 - 05/12/2009
GFI SECURITIES LLC (NEW YORK NY)
NY
01/05/2007 - 03/11/2008
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
NY
03/01/2004 - 11/03/2006
WACHOVIA CAPITAL MARKETS, LLC (NEW YORK NY)
NY
08/19/2002 - 03/29/2004
BURLINGTON CAPITAL MARKETS INC. (NEW YORK NY)
NY
05/10/1996 - 05/14/2002
TRIBECA INVESTMENTS, L.L.C. (NEW YORK NY)
NY
05/11/1989 - 02/16/1996
KELLNER, DILEO & CO. (NEW YORK NY)
NY
09/20/1988 - 05/03/1989
MURIEL SIEBERT & CO., INC. (NEW YORK NY)
FL
07/01/1986 - 09/29/1988
KAUFMANN, ALSBERG & CO., INC. (MIAMI FL)
NA
02/06/1980 - 06/10/1986
WALSH, GREENWOOD & CO.
NA
03/10/1978 - 03/01/1980
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
NA
02/24/1978 - 03/10/1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
NA
10/03/1977 - 02/24/1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
BOTH
Issued 10/21/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/20/1997
Series 24 - General Securities Principal Examination
BC
Issued 9/10/1979
Series 4 - Registered Options Principal Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/18/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/29/1985
Series 3 - National Commodity Futures Examination
BC
Issued 11/23/1982
Series 41 - NYSE Allied Member Examination
BC
Issued 9/17/1977
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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