Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Carberry is an active Registered Representative and Investment Advisor Representative with UBS Financial Services Inc., located in WEEHAWKEN, NJ. Louis has been in the industry since 2005. Prior to UBS Financial Services Inc., Louis was affiliated with WELLS FARGO CLEARING SERVICES, LLC, OPPENHEIMER & CO. INC., CAPITAL ONE INVESTING, LLC, BNP PARIBAS SECURITIES CORP., VANGUARD MARKETING CORPORATION, AON SECURITIES CORPORATION, and MORGAN STANLEY DW INC. Louis holds FINRA Series 6, 7, 9, 10, 31, 63, 65, 66, 99TO, and SIE licenses. Louis also holds state licenses in Pennsylvania and District of Columbia.
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
NJ
06/23/2022 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
PA
02/19/2020 - 06/23/2022
WELLS FARGO CLEARING SERVICES, LLC (PHILADELPHIA PA)
PA
01/16/2018 - 02/14/2020
OPPENHEIMER & CO. INC. (JENKINTOWN PA)
DE
08/02/2017 - 01/22/2018
CAPITAL ONE INVESTING, LLC (WILMINGTON DE)
NY
09/29/2011 - 01/05/2017
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
PA
06/21/2006 - 07/21/2011
VANGUARD MARKETING CORPORATION (MALVERN PA)
PA
02/23/2006 - 06/23/2006
AON SECURITIES CORPORATION (HATBORO PA)
NY
05/30/2001 - 10/23/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/06/2000 - 05/16/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 01/19/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 08/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/03/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/09/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/21/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/25/2000
Series 31 - Futures Managed Funds 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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