Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica McCartan is an investment advisor representative at UBS Financial Services Inc. Monica has been in the financial services industry since January 26, 2009. Monica is licensed to provide investment advice in Connecticut and New Jersey. Monica offers a range of investment services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. UBS Financial Services Inc. is a large firm with over $50 billion in assets under management.
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
09/25/2023 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
IA
Issued 07/29/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/23/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2009
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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