Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria King is a financial advisor with UBS Financial Services Inc. in Knoxville, Tennessee. Maria has over 20 years of experience in the financial services industry. Maria is licensed to sell securities in Tennessee, Texas, Connecticut, and Georgia. Maria also holds Series 3, 7, 10, 63, 65, and 9 licenses. Maria specializes in providing financial planning, portfolio management, and retirement planning services to individuals, families, and businesses.
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
TN
02/10/2022 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TX
02/01/2021 - 02/03/2022
CHARLES SCHWAB & CO., INC. (Westlake TX)
TX
01/26/2001 - 01/26/2021
HILLTOP SECURITIES INC. (PLANO TX)
TX
01/01/2001 - 01/26/2001
MYDISCOUNTBROKER.COM (DALLAS TX)
IA
Issued 09/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/03/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2005
Series 3 - National Commodity Futures Examination
BC
Issued 12/28/2000
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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