Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Ferrante is a financial advisor who has been working in the industry since 2002. Maria is currently registered with UBS Financial Services Inc. and has been with the firm since 2015. Previously, Maria worked at CREDIT SUISSE SECURITIES (USA) LLC and UBS FINANCIAL SERVICES INC. Maria holds a variety of licenses and certifications including Series 66, Series 10, Series 9, SIE and Series 7.
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
11/23/2015 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
05/14/2010 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
CA
09/17/2008 - 05/20/2010
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
NY
04/20/2005 - 11/11/2008
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
11/17/2004 - 04/01/2005
JULIUS BAER SECURITIES INC. (NEW YORK NY)
CA
01/21/2003 - 02/18/2004
CITY NATIONAL SECURITIES, INC. (LOS ANGELES CA)
NY
09/19/2002 - 10/30/2002
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
09/26/2000 - 12/31/2001
UBS WARBURG LLC (NEW YORK NY)
BOTH
Issued 11/15/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2000
Series 7 - General Securities 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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