Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nora? Claim Your ProfileNora Dube is a financial advisor with UBS Financial Services Inc. Nora has been in the financial industry since 1999. Nora is registered as an investment advisor representative in Maine, New Hampshire, and Texas. Nora also holds Series 6, 7, 10, 24, 63, and 65 licenses. Nora's previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Scottrade, Inc. Nora specializes in a wide range of financial planning and advisory services for both individuals and businesses.
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
NH
05/24/2024 - Present
UBS Financial Services Inc. (MANCHESTER NH)
NH
05/06/2016 - 11/13/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CONCORD NH)
NH
02/06/2004 - 03/11/2016
SCOTTRADE, INC. (MANCHESTER NH)
MA
04/12/2001 - 09/11/2002
STATE STREET RESEARCH INVESTMENT SERVICES, INC. (BOSTON MA)
MA
01/02/2001 - 05/11/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MA
07/12/1999 - 11/28/2000
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
MA
08/06/1997 - 07/15/1999
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
IA
Issued 06/02/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/04/1997
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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