Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loy? Claim Your ProfileLoy Loraine Gotham is a financial advisor who has been in the industry for over 37 years. Loy Gotham is registered with Stifel, Nicolaus & Company, Inc., and has been with the firm since September 2009. Loy Gotham previously worked with UBS Financial Services Inc. Prior to that, Loy Gotham was a registered representative for UBS Financial Services Inc. in Virginia, Minnesota. Loy Loraine Gotham is licensed to provide financial advice in multiple states, including Minnesota, Texas, Arizona, Arkansas, Florida, Nevada, South Carolina, South Dakota, Washington and Wisconsin.
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.
1
2
MN
09/25/2009 - Present
Stifel, Nicolaus & Company, Inc. (VIRGINIA MN)
MN
09/30/1985 - 09/25/2009
UBS FINANCIAL SERVICES INC. (VIRGINIA MN)
IA
Issued 11/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1985
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 05/08/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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