Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Roy Rubin is a financial advisor at UBS Financial Services Inc. Neil has been in the financial services industry since 1984 and is registered with the Financial Industry Regulatory Authority (FINRA) as well as a number of state regulators. He is also a Registered Investment Advisor. Neil has extensive experience in providing a wide range of financial services, including investment advisory, financial planning, portfolio management, and retirement planning. Neil's commitment to providing his clients with personalized service and sound financial advice has earned him a reputation as a trusted advisor.
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
06/18/2015 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/18/2004 - 06/22/2015
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
06/04/2002 - 11/10/2003
SPENCER TRASK VENTURES, INC. (NEW YORK NY)
NY
03/14/1996 - 08/15/2001
TRADE.COM ONLINE SECURITIES, INC. (NEW YORK NY)
NY
02/24/1994 - 03/15/1996
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NY
03/14/1983 - 01/26/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/27/1984 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
01/12/1983 - 03/15/1983
GILFORD SECURITIES INCORPORATED
IA
Issued 08/22/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1982
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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