Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Klein is a registered investment advisor representative with UBS Financial Services Inc. Matthew has been in the securities industry since October 31, 2007. Matthew has passed the Series 7, Series 63, Series 86, Series 87, and Series 65 exams and holds current registrations in CT, NJ, NY, and TX. Previously, Matthew was registered with DEUTSCHE BANK SECURITIES INC. and UBS SECURITIES LLC.
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
09/16/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/20/2009 - 07/31/2012
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/12/2007 - 05/04/2009
UBS SECURITIES LLC (NEW YORK NY)
IA
Issued 09/28/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/22/2007
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/11/2007
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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