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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Rodriguez Chin is a financial advisor with UBS Financial Services Inc. Nancy has been in the industry since 2005. Nancy specializes in providing financial advice to individuals, businesses, corporations, charitable organizations, high-net-worth individuals, insurance companies, and pension and profit-sharing plans. Nancy's experience at Barclay's Capital Inc., Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated provides Nancy with a broad range of experience in the financial services industry. Nancy is registered to provide investment advisory services in Arizona, California, Florida, Idaho, Illinois, Nevada, New York, Texas, Utah, and Washington.
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
CA
09/25/2008 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
09/22/2008 - 10/08/2008
BARCLAYS CAPITAL INC. (LOS ANGELES CA)
CA
05/18/2007 - 09/22/2008
LEHMAN BROTHERS INC. (LOS ANGELES CA)
CA
04/20/2005 - 04/13/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA MONICA CA)
BOTH
Issued 12/05/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2005
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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