Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Marie Heiser is an investment advisor representative with UBS Financial Services Inc., based in New York, NY. Nancy has over 30 years of experience in the securities industry, with a proven track record of success in providing financial guidance and investment management services to individuals, families, and businesses. Nancy has held positions at several prominent firms including Merrill Lynch, Citigroup, and Prudential Securities, and has been registered in multiple states. Nancy is dedicated to building long-term relationships with her clients, and her expertise extends to a variety of financial planning needs, including retirement planning, college savings, and estate planning.
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
05/20/2011 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
01/12/2007 - 04/25/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/26/1996 - 01/25/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/28/1992 - 02/02/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/08/1989 - 08/26/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/21/1987 - 02/16/1989
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 03/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
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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