Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Milton? Claim Your ProfileMilton Helm is a financial advisor with UBS Financial Services Inc., where Milton has been registered since May 6, 2005. Milton has a total of 10 approved SRO registrations and 6 approved state registrations. Milton holds the Series 7, Series 63, and SIE licenses. Milton has worked in the financial services industry since February 6, 1979. Before joining UBS Financial Services Inc., Milton was previously registered with Legg Mason Wood Walker, Incorporated and Prudential Securities Incorporated.
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
FL
05/06/2005 - Present
UBS Financial Services Inc. (Winter Park FL)
MD
07/21/2000 - 05/12/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
09/09/1994 - 07/26/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/01/1979 - 09/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/17/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1979
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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