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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 Barrett is a financial advisor with UBS Financial Services Inc. working in the San Francisco area. Nancy has been in the financial services industry since December 20, 2005. Nancy has a strong background in investments, with experience at firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated and Sanford C. Bernstein & Co., LLC. Nancy has a variety of licenses and certifications, including Series 6, 7, 31 and 66. Nancy is registered in multiple states, including California, Texas, Arizona, Florida and Oregon.
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
05/24/2022 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/16/2010 - 04/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
12/20/2006 - 03/11/2010
SANFORD C. BERNSTEIN & CO., LLC (SAN FRANCISCO CA)
NA
11/05/1990 - 02/11/1992
SCUDDER INVESTOR SERVICES, INC.
BOTH
Issued 12/29/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1990
Series 6 - Investment Company Products/Variable Contracts 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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