Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maureen? Claim Your ProfileMaureen Evelyn Kelly has over 28 years of experience in the financial services industry. Maureen currently works for UBS Financial Services Inc., where Maureen holds the Series 7, 3, and 66 licenses. Maureen began their career at SMITH BARNEY SHEARSON INC. and has experience at KIDDER, PEABODY & CO. INCORPORATED. Maureen is registered with the Securities and Exchange Commission (SEC) and 19 states, including New York, Alabama, California, Colorado, Connecticut, District of Columbia, Florida, Illinois, Maine, Massachusetts, Michigan, New Hampshire, New Jersey, Pennsylvania, Rhode Island, Texas, Virginia, and Washington. Maureen has a specialization in Securities.
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
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
01/14/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
11/03/1993 - 01/20/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
BOTH
Issued 02/16/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/1999
Series 3 - National Commodity Futures Examination
BC
Issued 11/02/1993
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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