Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marnie? Claim Your ProfileMarnie Rose has been in the financial services industry since 2000. Marnie is currently registered with UBS Financial Services Inc. and is licensed to conduct business in Arizona, California, Colorado, Florida, Michigan, Nebraska, New Mexico, New York, Ohio, Texas, and Washington. Marnie has previously worked with RBC Capital Markets, LLC, UBS Financial Services Inc., Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wachovia Securities, Inc. Marnie is Series 66 and Series 7 licensed.
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
AZ
03/08/2018 - Present
UBS Financial Services Inc. (TUCSON AZ)
AZ
11/03/2017 - 03/14/2018
RBC CAPITAL MARKETS, LLC (TUCSON AZ)
AZ
05/23/2005 - 11/14/2017
UBS FINANCIAL SERVICES INC. (TUCSON AZ)
NY
09/16/2004 - 05/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/26/2003 - 09/21/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
10/30/2002 - 02/10/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
MO
03/07/2000 - 02/25/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 08/31/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2000
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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