Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norbert? Claim Your ProfileNorbert Unger is a financial professional with over 16 years of experience in the industry. Norbert is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously held positions at Morgan Stanley and Lehman Brothers Inc. Norbert specializes in various areas including investments, insurance, and retirement planning. Norbert has a strong track record of providing personalized financial advice to 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
MA
07/03/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
06/01/2009 - 07/09/2013
MORGAN STANLEY (WELLESLEY MA)
MA
07/25/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WELLESLEY MA)
MA
04/18/2007 - 08/07/2008
LEHMAN BROTHERS INC. (BOSTON MA)
BOTH
Issued 04/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/08/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 04/17/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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