Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell James Ross is a financial advisor with over 25 years of experience in the industry. Mitchell is currently registered with UBS Financial Services Inc. and has previously worked with several other firms, including Oppenheimer & Co. Inc., RESRV PARTNERS, INC., QUEST CAPITAL STRATEGIES, INC., NEUBERGER BERMAN MANAGEMENT INC., SALOMON SMITH BARNEY INC., SALOMON BROTHERS INC., DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION and WATERHOUSE SECURITIES, INC. Mitchell holds licenses in multiple states and has experience in a wide range of investment products and services. Mitchell is committed to providing clients with personalized financial advice and investment solutions that meet their individual needs.
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
03/08/2005 - 02/16/2012
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
09/27/2004 - 10/22/2004
RESRV PARTNERS, INC. (NEW YORK NY)
CA
08/03/2004 - 09/01/2004
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
12/04/2000 - 08/15/2002
NEUBERGER BERMAN MANAGEMENT INC. (NEW YORK NY)
NY
09/01/1998 - 11/02/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
10/09/1996 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NJ
12/05/1995 - 09/26/1996
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NE
09/13/1994 - 12/07/1995
WATERHOUSE SECURITIES, INC. (OMAHA NE)
IA
Issued 09/29/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2008
Series 3 - National Commodity Futures Examination
BC
Issued 09/12/1994
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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