Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Martin? Claim Your ProfileMartin McLaughlin is a financial advisor with UBS Financial Services Inc. Martin has been in the industry since June 20, 1987. Martin has a wide range of experience in financial planning, portfolio management and investment advice. Martin is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). Martin has passed a number of exams including Series 65, Series 63, Series 10, Series 9 and Series 7. Martin is also registered as an investment advisor in 44 states and the District of Columbia. Martin has worked for a number of firms in the past, including WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., LAZARD FRERES & CO. LLC, DILLON, READ & CO. INC. and CHEMICAL SECURITIES, INC. Martin is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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
CT
08/20/2024 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
01/01/2008 - 08/27/2010
WELLS FARGO ADVISORS, LLC (NORWALK CT)
CT
02/29/1996 - 01/03/2008
A. G. EDWARDS & SONS, INC. (NORWALK CT)
NY
05/10/1994 - 12/31/1995
LAZARD FRERES & CO. LLC (NEW YORK NY)
CT
04/29/1991 - 05/16/1994
DILLON, READ & CO. INC. (STAMFORD CT)
NY
04/23/1987 - 04/30/1991
CHEMICAL SECURITIES, INC. (NEW YORK NY)
IA
Issued 12/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1986
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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