Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lulu? Claim Your ProfileLulu Zappy is a financial advisor with UBS Financial Services Inc. in MT. LAUREL, NJ. Lulu is also a Registered Investment Advisor (RIA) and has been active in the industry since 2011. Lulu has worked at PRUCO SECURITIES, LLC., MORGAN STANLEY and MORGAN STANLEY SMITH BARNEY LLC. Lulu Zappy is licensed to offer securities and investment advisory services in multiple 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
NJ
08/18/2016 - Present
UBS Financial Services Inc. (MT. LAUREL NJ)
NJ
09/05/2013 - 08/25/2016
MORGAN STANLEY (MT. LAUREL NJ)
NJ
07/04/2011 - 07/15/2013
PRUCO SECURITIES, LLC. (MARLTON NJ)
BC
Issued 03/29/2013
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/13/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2013
Series 7 - General Securities Representative Examination
BC
Issued 07/01/2011
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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