Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Anthony Sforza is an active investment advisor representative and has been in the industry since 1984. Louis is currently registered with UBS Financial Services Inc. in Florida, New Jersey, Pennsylvania and Texas. Louis has previously been registered with Prudential Securities Incorporated and Dean Witter Reynolds Inc. Louis has a variety of licenses and registrations, including Series 7, 9, 10, 63, and 65. Louis has worked with UBS Financial Services Inc. since March 2010. Louis has a wide range of experience in the financial services industry and is committed to providing clients with personalized financial advice.
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
PA
09/27/2021 - Present
UBS Financial Services Inc. (CANONSBURG PA)
NY
03/16/1990 - 08/18/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/04/1984 - 03/26/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/18/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1988
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
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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