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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathaniel? Claim Your ProfileNathaniel Nesbitt is a financial advisor at UBS Financial Services Inc. He is a registered representative with over 40 years of experience in the financial services industry. Nathaniel has held various roles at UBS Financial Services Inc., including a Principal, a supervisor and an investment advisor representative. His experience includes a strong emphasis on municipal securities. Nathaniel's specializations include Investment Advisory Services, Financial Planning, Investment Companies, Individual Retirement Plans, Pension and Profit-Sharing Plans, Variable Annuities and Variable Life Insurance, Mutual Funds, and Retirement Planning. Nathaniel has earned several licenses, including Series 7, Series 10, Series 15, Series 24, Series 52, Series 53, and Series 63, and is registered in several states to conduct business in the brokerage and advisory fields. Nathaniel has a commitment to providing his clients with comprehensive financial advice to meet their needs and goals.
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
03/09/2007 - Present
UBS Financial Services Inc. (BREA CA)
IA
Issued 05/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/08/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/29/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/26/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/07/1989
Series 4 - Registered Options Principal Examination
BC
Issued 08/10/1987
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 03/15/1980
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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