Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patty? Claim Your ProfilePatty A. Walker is an investment advisor representative with UBS Financial Services Inc. Patty has been in the financial industry since September 21, 1992. Patty holds Series 7, Series 63, and Series 65 licenses. Patty is registered to offer securities and advisory services in Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Michigan, Montana, North Carolina, Ohio, South Carolina, and Tennessee. Patty also holds a SIE license. Patty is a registered representative with UBS Financial Services Inc. in Cincinnati, Ohio. Patty's branch office is located at 312 Walnut Street, Suite 3300, Cincinnati, Ohio 45202. Patty also owns and operates Black Diamond Designs, a DBA located at 2333 Nicholson Avenue, Cincinnati, Ohio 45211.
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
OH
01/16/2009 - Present
UBS Financial Services Inc. (CINCINNATI OH)
FL
09/22/1992 - 02/09/2007
MCDONALD INVESTMENTS INC. (BONITA SPRINGS FL)
IA
Issued 11/19/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1992
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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