Unclaimed
Maureen Ann Barrett is an investment advisor with over 20 years of experience in the financial services industry. Maureen is currently registered with UBS Financial Services Inc. and has held previous positions with WELLS FARGO ADVISORS, LLC, MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC. She holds Series 7, 31 and 63 licenses and has a strong track record of providing financial guidance to individuals, families, and businesses. Maureen is a highly regarded advisor and is committed to helping her clients 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
NJ
02/24/2014 - Present
UBS Financial Services Inc. (RED BANK NJ)
NJ
05/24/2012 - 02/20/2014
WELLS FARGO ADVISORS, LLC (RED BANK NJ)
NJ
06/01/2009 - 06/05/2012
MORGAN STANLEY SMITH BARNEY (SHREWSBURY NJ)
NJ
11/18/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
NY
11/18/2002 - 11/22/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 11/13/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/2002
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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