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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neelam? Claim Your ProfileNeelam Seth is a financial advisor with over 28 years of experience in the industry. Neelam is currently registered with UBS Financial Services Inc. in Illinois and Texas. Neelam also holds licenses to provide investment advisory services. Before joining UBS Financial Services Inc., Neelam was employed at UBS International Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Neelam has passed several industry exams, including the Series 63, Series 66, Series 7, Series 9 and Series 10. Neelam is also a Registered Representative and Investment Advisor Representative. Neelam specializes in providing financial planning, portfolio management and investment advice to individuals, businesses, corporations and charitable organizations.
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
IL
03/23/2012 - Present
UBS Financial Services Inc. (CHICAGO IL)
TX
07/11/2008 - 01/01/2010
UBS INTERNATIONAL INC. (HOUSTON TX)
NY
05/11/1990 - 05/06/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/07/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1990
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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