Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mallory? Claim Your ProfileMallory Krauss is a financial professional with over 10 years of experience in the securities industry. Mallory is currently registered with UBS Financial Services Inc. in New York, NY. Mallory's previous experience includes work at CreditEx Securities Corporation. Mallory holds the Series 63, Series 7, Series 99, and SIE licenses. Mallory is registered to provide securities-related services in several states including Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Kansas, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Virginia, Washington, Wisconsin, and Wyoming. UBS Financial Services Inc. is a large, well-established firm with over $50 billion in assets under management.
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
NY
06/18/2019 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
01/23/2013 - 07/10/2018
CREDITEX SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 02/12/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2017
Series 7 - General Securities Representative Examination
BC
Issued 01/22/2013
Series 99 - Operations Professional 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
Not sure Mallory Krauss is the right advisor for you? Invested Better is here to help.
