Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luke? Claim Your ProfileLuke Ervin is a financial advisor with UBS Financial Services Inc. located in San Diego, CA. Luke has been in the industry since June 2003. He has Series 3, 6, 7, and 63 licenses. Luke holds a Series 65 license and is registered in Texas and California. He is also registered as a Broker-Dealer in 27 states.
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
CA
02/04/2013 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
06/01/2009 - 02/06/2013
MORGAN STANLEY (SAN DIEGO CA)
CA
03/15/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
AZ
09/02/2003 - 01/24/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
CA
04/29/2003 - 08/25/2003
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
IA
Issued 01/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2008
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/2003
Series 7 - General Securities Representative Examination
BC
Issued 04/28/2003
Series 6 - Investment Company Products/Variable Contracts 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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