Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Regina Zwaan is a financial advisor currently registered with UBS Financial Services Inc. located in New York, New York. Mary has been in the financial services industry since September 2020 and has a Series 7, Series 63, and Series 66 license. Before joining UBS Financial Services Inc., Mary worked at Vanguard Marketing Corporation in Malvern, Pennsylvania. Mary is a registered investment advisor in New York and is also registered as a broker-dealer in multiple states.
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
10/04/2022 - Present
UBS Financial Services Inc. (NEW YORK NY)
PA
09/28/2020 - 09/15/2022
VANGUARD MARKETING CORPORATION (MALVERN PA)
BOTH
Issued 10/04/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/06/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2020
Series 7TO - General Securities Representative Examination
BC
Issued 07/14/2020
SIE - Securities Industry Essentials 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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