Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Ham is a financial advisor at UBS Financial Services Inc. Nancy has been in the industry since 1998. Nancy is registered with the following states: California, Connecticut, Florida, Maine, Massachusetts, New Hampshire, Pennsylvania, and Texas. Nancy holds the following securities licenses: Series 63, Series 7, and SIE. Prior to joining UBS Financial Services Inc., Nancy was a financial advisor at CITIGROUP GLOBAL MARKETS INC. from 1999 to 2007 and Prudential Securities Incorporated from 1998 to 1999.
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
MA
11/23/2007 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
10/20/1999 - 12/06/2007
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
05/21/1998 - 10/21/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 05/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1998
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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