Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Meredith? Claim Your ProfileMeredith Carlton is a financial advisor at UBS Financial Services Inc. with over 15 years of experience in the industry. Meredith is registered to provide investment advice in 38 states and the District of Columbia. Meredith has a Series 66, Series 7, Series 9, and Series 10 licenses and is a Registered Representative and Investment Advisor Representative. Meredith specializes in providing financial planning, portfolio management, and educational seminars to a variety of clients, including individuals, families, businesses, and charitable organizations.
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
CO
03/03/2009 - Present
UBS Financial Services Inc. (BOULDER CO)
BOTH
Issued 03/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/10/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/13/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2008
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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